PROKOFIEV - Romeo y Julieta - Cinderella

PROKOFIEVS ROMEO & JULIET AND CINDERELLA:
A COMPARISON OF LEADS
Carolyn Zoe Brouthers
A Thesis
Submitted to the Graduate College of Bowling Green
State University in partial fulfillment of
the requirements for the degree of
MASTER OF MUSIC
August 2011
Committee:
Nora Engebretsen, Advisor
Gene Trantham
ii
ABSTRACT
Nora Engebretsen, Advisor
Sergei Prokofiev (1891-1953) composed several ballets over the course of his career,
including two based on well-known written works: Romeo and Juliet by William Shakespeare
and Cinderella. Their parallel characters and somewhat parallel storylines allow for comparative
analysis of certain pieces. Because the ballets are both love stories, pieces characterizing the
lovers individually and as couples are considered. The purpose of this work is to determine what
musical structures contribute to characterization, if the use of those structures is consistent across
the ballets, and if/how they match aspects of Prokofievs musical language described by other
analysts.
The pieces from Romeo and Juliet examined in this paper are Romeo, Juliet, and
Love-Dance. Parallel pieces from Cinderella are Cinderella, The Prince, and Duet The
Prince and Cinderella. Form, phrase structure, melodic tendency, motive, tonal center, cadence,
and chromatic displacement are all considered in the analyses. Of these, the structures that
contribute most to characterization are form, phrase structure, motive, tonal center, and cadence.
Melodic tendency sometimes plays a role in defining a character, but not consistently; chromatic
displacement has no significant effect. Few of the structures are used to the same effect in both
ballets.
iii
For Dr. Snodgrass, without whom I would not have thought to pursue music theory.
iv
ACKNOWLEDGEMENTS
Dr. Engebretsen, thank you for your dedication, patience, and good humor in helping me
complete this thesis in the short amount of time we had. Dr. Trantham, thank you for reading my
thesis, giving helpful suggestions, and being you.
I would also like to thank all of my theory professors from Appalachian State University
and Bowling Green State University for encouraging my pursuit of music theory.
Mom, your happy dances delight me! Thank you for dancing whenever I succeed.
v
TABLE OF CONTENTS
Page
CHAPTER I. INTRODUCTION...........................................................................................
CHAPTER II. ROMEO AND JULIET .................................................................................
Romeo. ...................................................................................................
Juliet...........................................................................................................
17
Love-Dance
31
Summary
43
CHAPTER III. CINDERELLA .............................................................................................
47
Cinderella.......................................................................................................
47
The Prince ......................................................................................................
63
Duet The Prince and Cinderella..
73
Summary
86
CHAPTER IV. COMPARISON OF ROMEO AND JULIET AND CINDERELLA...........
92
Romeo and the Prince ................................................................................................
92
Juliet and Cinderella ..................................................................................................
97
Love-Dance and Duet 101

Conclusions 105
BIBLIOGRAPHY.................................................................................................................. 107
APPENDIX: FORM CHARTS ............................................................................................. 108
vi
LIST OF EXAMPLES
Example
Page
2.1
Beginning of Romeo (mm. 1-5) .............................................................................
2.2
New basic idea (b.i. 2) juxtaposed with presumed original basic idea (b.i. 1), Romeo
(mm. 7-9)
2.3
Lyrical theme, beginning of the B section, Romeo (mm. 15-17)...........................
2.4
Octave displacement of introductory harmonic pattern, Romeo (mm. 15-18) ......
2.5
Codetta, Romeo (mm. 41-44).................................................................................
10
2.6
Altered cadences ........................................................................................................
13
2.6a.
Chromatic substitution, altered-PAC; from Romeo and Juliet Romeo

(mm. 42-43)
2.6b.
Mediant substitute for dominant harmony, altered-PAC; from Romeo and

Juliet Juliet (m. 2)
2.6c.
Predominant simultaneity with dominant harmony, altered-IAC; from .

Cinderella Duet (mm. 5-6)
2.7
IACs with non-chord tones, Romeo (mm. 6-7, 13-14) ..........................................
14
2.8
Alternate readings of unaltered IACs, Romeo (mm. 22-23, 30-31).......................
15
2.9
Two-measure group characteristic of the A section, Juliet (mm. 1-2). ..
19
2.10 Beginning of B section, Juliet (mm. 9-13) .............................................................
20
2.11 Antecedent phrase of C couplet, Juliet (mm. 27-30)..............................................
21
2.12 First phrase of D couplet, Juliet (mm. 43-48) ........................................................
22
2.13 Antecedent phrase of D couplet, Juliet (mm. 48-51) .............................................
22
2.14 Coda, Juliet (mm. 80-89)........................................................................................
23
vii
2.15 Variation of antecedent melody in consequent phrase, Juliet (mm. 27-34) ...........
25
2.16 Small-scale version of mediant key relationship introduced in harmonic progression,

Juliet (m. 2) ............................................................................................................
26
2.17 Small-scale semitone relationship? Juliet (mm. 50-51) .........................................
27
2.18 Enharmonic VII, at a parallel moment with ex. 2.17; Juliet (mm. 62-63) .............
28
2.19 Altered-PAC; Dominant has raised fifth, Juliet (m. 38).........................................
29
2.20 Leaping PAC, Juliet (mm. 29-30) ..........................................................................
30
2.21 Altered-IAC, highest voice resolves by leap, inner voice cannot double resolution,
Juliet (mm. 41-42 ...................................................................................................
30
2.22 Elided cadence of (a) theme, Love-Dance (mm. 13-16) ........................................
33
2.23 Theme (d), including predominant half cadence, Love-Dance (mm. 18-22).........
34
2.24 Theme (e), Love-Dance (mm. 42-46) ....................................................................
34
2.25 Theme (f), Love-Dance (mm. 34-38).....................................................................
35
2.26 Theme (i), Love-Dance (mm. 92-95) .....................................................................
36
2.27 Beginning of B section, theme (g), Love-Dance (mm. 57-60)...............................
37
2.28 Tonic bass displaced to sound under dominant ii7, then transformed into submediant
harmony through passing motion, Love-Dance (mm. 62-64) ................................
37
2.29 Similar opening rhythms of themes (a) and (d), Love-Dance ................................
38
2.29a.
Opening rhythm, theme (a) (mm. 4-6)
2.29b.
Opening rhythm, theme (d) (mm. 18-20)
2.30 Rhythmic and melodic similarities of themes (g) and (h), Love-Dance ................
2.30a.
End of theme (g) (mm. 62-63)
2.30b.
Beginning of theme (h) (mm. 64-65)
40
viii
2.31 Melodic motives in themes (g) and (h), Love-Dance.............................................
2.31a.
Beginning of theme (g) (mm. 58-59)
2.31b.
End of theme (h) (mm. 66-67)
41
3.1
Beginning of Cinderellas first theme (mm. 1-5).......................................................
48
3.2
Antecedent phrase of Cinderellas second theme (mm. 11-15).................................
49
3.3
Altered-IAC, Cinderella (mm. 22-23)....................................................................
51
3.4
Beginning of Cinderellas third theme (mm. 28-29) .................................................
52
3.5
Two formal interpretations of mm. 40-41, Cinderella ...........................................
53
3.6
Sequential, major-mode transition between C and B sections (E major and C major),
3.7
3.8
3.9
Cinderella (mm. 68-76) ..........................................................................................
56
Rhythmic motives across themes, Cinderella.........................................................
57
3.7a.
Rhythmic motives a and b in A theme (mm. 3-4)
3.7b.
Rhythmic motives a and b in B theme (mm. 17-18)
3.7c.
Rhythmic motive b in C theme (mm. 41-42)
Melodic arpeggiation motive across themes, Cinderella........................................

3.8a.
Melodic arpeggiation motive in A theme (m. 3)
3.8b.
Melodic arpeggiation motive in B theme (m. 12)
Semitone motion from pc 6 in minor and major keys, Cinderella .........................

3.9a.
58
59
Traditional upward resolution of pc 6 to pc 7; raised fourth in a minor key

(mm. 3-4)
3.9b.
Downward resolution of pc 6 to pc 5; lowered fifth in a major key

(mm. 13-14)
3.10 Melodic interval content of Cinderellas first theme (mm. 1-5)................................
59
ix
3.11 Functional pitch-class motive in Cinderellas B theme (mm. 12-15)........................
3.11a.
Score excerpt
3.11b.
5-line motive
61
3.12 Cross-representation of D and F, Cinderella (mm. 49-50).................................
62
3.13 The Princes basic idea, offset by one beat (mm. 134-137).......................................
64
3.14 The Princes Introduction (mm. 124-125) .................................................................
66
3.15 Codetta, The Prince (mm. 159-164).......................................................................
67
3.16 Altered-PAC, The Prince (mm. 157-158) ..............................................................
68
3.17 First continuation, The Prince (mm. 130-134) .......................................................
69
3.18 Beginning of second continuation, The Prince (mm. 138-142) .............................
70
3.19 Beginning of third continuation, The Prince (mm. 152-155).................................
70
3.20 Introduction, Duet (mm. 1-2) .................................................................................
73
3.21 Beginning of codetta, Duet (mm. 51-53) ...............................................................
74
3.22 Beginning of A section, Duet (mm. 3-6)................................................................
75
3.23 Beginning of B section, Duet (mm. 22-25) ............................................................
77
3.24 Melodic segment of Period 2 also found in Period 3, transposed up and adjusted
metrically, Duet ......................................................................................................
3.24a
Basic idea (mm. 7-8)
3.24b.
Contrasting idea (mm. 24-25)
3.25 Arpeggiated descent (?) to head tone, Duet (mm. 3-4) ..........................................
78
80
3.26 Final descent, including secondary support for scale degree 5 and chromatically displaced
scale degree 4, Duet (mm. 48-51) ..........................................................................
3.26a.
Score excerpt......................................................................................
80
80
x
3.26b.
Final descent ......................................................................................
81
3.27 Altered-IAC, Duet (mm. 5-6).................................................................................
82
3.28 Partial displacement and altered-IAC, Duet (mm. 29-31)......................................
84
3.29 Shadow structure and surface structure of basic idea in A section of Duet reveals
chromatic displacement of scale degree 4 (mm. 3-6) ................................................
85
LIST OF TABLES
Table
Page
2.1
Form chart of Juliet the Young Girl .......................................................................
18
2.2
Form chart of Love-Dance .....................................................................................
32
2.3
Thematic layout of the B section, Love-Dance......................................................
35
3.1
Form chart of Cinderellas second theme .................................................................
50
3.2
Form chart of The Prince........................................................................................
64
3.3
Form chart of Duet (A B A) .................................................................................
76
1
CHAPTER I. INTRODUCTION
Sergei Prokofiev (1891-1953) composed several ballets over the course of his career,
including two based on well-known written works: Romeo and Juliet and Cinderella. Both were
composed after Prokofievs return to the Soviet Union in 1935. Their parallel characters and
somewhat parallel storylines allow for comparative analysis of certain pieces. Like operas,
ballets have plots and musically defined characters. Unlike operas, ballets have no libretto to
help define the characters. Thus, all characterization is dependent on musical and choreographic
decisions; this paper is concerned only with the former. Because the ballets are both love stories,
pieces characterizing the lovers individually and as couples will be considered. This paper will
show that formal, melodic, and harmonic structures contribute to characterization, sometimes in
a consistent manner and sometimes on an individual basis.
Romeo and Juliet, conceived in 1934 and completed in 1938, received mixed reviews.
Musically, Romeo and Juliet received some criticism for anti-Romanticism rationalism,
evidenced by curt rhythms and modern harmonic and melodic tendencies.1 Romeo and Juliet is,
of course, William Shakespeares tragic tale of A pair of star-crossed lovers2 whose deaths end
the feud between their families. Originally, Prokofiev composed an altered ending in which
Romeo and Juliet live, because as Prokofiev said, living people can dance, the dying cannot.3
Such a drastic change to Shakespeares play was not acceptable to the audience, so Prokofievs
final product retains the tragic ending. Though he did not change the main characters themes,
Prokofievs decision to retain Shakespeares ending is of particular interest in the context of the
present study, as it introduces the possibility of foreshadowing.
1
Simon Morrison, The Peoples Artist: Prokofievs Soviet Years (Oxford: Oxford University Press, 2009), 35.
William Shakespeare, Romeo and Juliet, Prologue line 6.
3
Quoted in Morrison, The Peoples Artist, 37.
2
2
Cinderella, which was completed in 1944 after four years of intermittent work, was
generally well-received, perhaps because it was in many ways patterned after Tchaikovskys
ballets.4 Prokofiev envisioned the ballet as an updated classical ballet with its particular forms,
like the pas daction, grand pas, and so forth.5 The story is based on the well-known Charles
Perrault version of the fairytale, in which the title character escapes mistreatment by her
stepmother (or stepsisters, in Prokofievs ballet) with the help of her fairy godmother, whose
magic enables Cinderella to go to the ball, where she and the Prince fall in love. The loss of one
of her magical glass slippers is the most famous part of the tale, and the clue which allows the
Prince to find and marry Cinderella, resulting in the requisite happily ever after.
In both of these ballets, Prokofiev treats the main characters very specifically. The
themes are representative not only of the characters actions, but of the true psychology of the
two protagonists.6 Romeos theme characterizes him as a jaunty young man whose innocence
yet remains. Juliet is presented as an excitable young girla girl on the verge of womanhood,
her thoughts touching a new emotional depth.7 Cinderella has three themes to define her, the
first designating Cinderellas suffering at the hands of her wicked stepsisters, the second her
dreams of a better future, and the third her passion for the Prince.8 Her Prince exudes wind
and flame; rejecting courtly etiquette, he leaps onto the throne like a horseman into the
saddle.9 This description provides a basis for his musical characterization.
As each individual is represented by one or more themes unique to him/her, the couples
also are characterized musically through their partner dances. The stories end quite differently, of
Daniel Jaffe, Sergey Prokofiev (London: Phaidon Press, 1998), 188.

Morrison, The Peoples Artist, 260.
6
Claude Samuel, Prokofiev, trans. Miriam John (New York: Marion Boyars Publishers, 2000), 135.
7
Jaffe, Sergey Prokofiev, 136.
8
9
Ibid, 260.
5
3
course, and for purposes of comparison only partner dances at parallel moments in the ballets
will be considered. Specifically, the duets that follow the lovers first meetings seem appropriate.
Romeo and Juliet have a Love-Dance following the ball and balcony scene; Cinderella and the
Prince dance a Duet after they meet at the ball. There is one partner dance between the Prince
and Cinderella before the duet, but its immediate relationship to the music that comes before and
after it, coupled with the fact that it is not a private dance between the lovers, but observed by the
entire court, renders it less musically, emotionally, and developmentally (in terms of plot)
relevant than the private duet.
Several methods of analysis are necessary to gain a complete picture of each character
and the couples as they are embodied in the music. William Caplins theories are the basis for
formal analysis, including large-scale form and phrase structure.10 Melodic analysis, which is
closely related to the formal analysis, will focus primarily on tendencies and motives. Harmonic
analysis, which is also incorporated into the formal analysis, will focus on several distinct topics:
1) Cadences types, approaches, and alterations; 2) Tonal Centers; and 3) Harmonic Curiosities,
including displacements. Effects of instrumentation and context will also be explored.
Other analyses of Prokofievs music generally focus on defining his musical language.
The most comprehensive study of either ballet is Ken Stephensons article, Melodic Tendencies
in Prokofievs Romeo and Juliet, after which some of the melodic analysis in this study is
patterned.11 Pieces from Romeo and Juliet, including part of Juliets theme, are discussed in
Deborah Rifkins A Theory of Motives for Prokofievs Music.12 She defines three types of
motives, systemic, functional pitch-class, and nonfunctional pitch-class motives, which are
10
William Caplin, Classical Form: A Theory of Formal Functions for the Instrumental Music of Haydn, Mozart,
and Beethoven, (New York: Oxford University Press, 1998).
11
Ken Stephenson, Melodic Tendencies in Prokofievs Romeo and Juliet, College Music Symposium 37 (1997).
12
Deborah Rifkin, A Theory of Motives for Prokofievs Music, Music Theory Spectrum 26 (2004).
4
occasionally present in the ballets. Richard Basss article, Prokofievs Technique of Chromatic
Displacement, provides a basis for some harmonic analysis.13 Very little theoretical work has
been done on Cinderella, especially on the pieces used in this study. One purpose of this work is
to explore what roles, if any, Prokofievs musical language, including melodic tendency, motive,
and chromatic displacement, plays in characterizing the lovers of Romeo and Juliet and
Cinderella. Harmonic, melodic, and formal relationships between parallel pieces are established
and/or disproved, from whence the purposes of these relationships are explored. Are the
relationships purely aesthetic? Do they provide musical insight into the characters or plot? These
questions and others are addressed in an effort to round out the analysis.
To facilitate comparison, the ballets will be considered in separate chapters with parallel
structures. Chapter 2 is devoted to Romeo and Juliet, and Chapter 3 is devoted to Cinderella.
Both are divided into sections according to character/dance and each section is further organized
by analytical techniques. Chapter 4 will summarize comparative findings and present
conclusions.
13
Richard Bass, Prokofievs Technique of Chromatic Displacement, Music Analysis 7/2 (1998).
5
CHAPTER II. ROMEO AND JULIET
Romeo & Juliet is, as everyone knows, a tale of star-crossed lovers. The protagonists end
unhappily, but their story does not begin that way. They are first introduced as individuals, going
about their lives without knowledge of each other or their fates. Romeo and Juliet each have their
own representative themes that not only identify the characters, but embody them. This chapter
will examine Romeos theme, Juliets theme, and the couples dance separately, showing how
these themes reflect the characters through adherence to/divergence from traditional formal
types, key relations, and melodic tendencies. It will conclude with a comparison of the
individuals and couple themes.
Romeo
Romeo is introduced early in the ballet (rehearsal 5) and his theme characterizes him as a
jaunty, still-innocent young man (see ex. 2.1). The Andante tempo and staccato, slightly marchlike articulation suggest a self-confident person who feels no hurry. Romeos theme is in small
ternary form, with the addition of a brief, slower codetta (mm. 41-44). In general it follows
Caplins requirements of small ternary form, most particularly in having an exposition (mm. 114), contrasting middle (mm. 15-31), and recapitulation (mm. 32-40).1
Caplin, Classical Form, 13.
6
Example 2.1: Beginning of Romeo (mm. 1-5)
The exposition seems at first to be the section most aligned with Caplins definitions. It
totals 14 measures and is made up of a repeated sentence. The first statement is only 7 measures
long, with the traditional two-measure basic idea followed by continuation and cadential
function. The end of the first sentence is elided with the beginning of the second (m. 7), which is
more normatively eight measures in length. Each sentence ends with an altered-IAC, a strong
recurring cadence to be discussed later. The A section modulates from tonic (F major) to
dominant (C major), during the continuation of the second sentence. The modulation takes place
in the part of the continuation that was missing in the first statement, providing an explanation
for the original abbreviation.
One way in which the A section does not conform to Caplins definitions, however, is in
the presence of a new basic idea in the second statement of the sentence (see ex. 2.2). In the first
statement, the basic idea is made up of the chordal harmonies played by harp and pizzicato
strings, supported by a tonic pedal. In the second statement, the original basic idea is recast as a
harmonization of a new, more melodic idea played by much lower instruments.
7
Example 2.2: New basic idea (b.i. 2) juxtaposed with presumed original basic idea (b.i. 1),
Romeo (mm. 7-9)
An alternate reading of the exposition delays the true basic idea until the beginning of the
second phrase (m. 7), which also alters its form. In this reading, the first six measures would be
understood as introductory, not truly a part of the A section. Though the two phrases are very
closely related, the presence of a stronger melodic basic idea in the second suggests the second
reading is correct. So, the A section begins seven measures into the piece, preceded by a related
introduction. Instead of a repeated sentence, the A section is now Caplins Hybrid 3, a compound
basic idea followed by a continuation.2
The B section, or contrasting middle (mm. 15-31), is both related to and different from
the A section. In line with Caplins theories, it is harmonically contrasting from the exposition in
that the music almost immediately modulates to E major. The melody is different from the
expositions basic idea in several ways, most notably in rhythm, register, and articulation. Where
the basic idea of the A section was mostly sixteenth-notes, staccato, and low instruments
(bassoon, cello, and bass), the melody of the B section is made up primarily of eighth-notes,
played legato, and in a higher register (clarinet) (see ex. 2.3).
8
Example 2.3: Lyrical theme, beginning of the B section, Romeo (mm. 15-17)
Supporting this new melody, however, is a familiar pattern. The chordal, harmonic
pattern first heard in the introduction and maintained in the A section is also in the B section, but
this time in E major. Octave displacement obscures the pattern slightly (ex. 2.4), especially in the
second section of the contrasting middle (mm. 23-31). The use of the introductory pattern as
accompaniment in the B section as well as the A section lends further support to beginning the A
section seven measures into the piece.
Example 2.4: Octave displacement of introductory harmonic pattern, Romeo (mm. 15-18)
The B section is clearly divided into two sections by an altered authentic cadence in E
major at m. 23. Not counting the melodic anacruses, each section is eight measures long,
implying another, smaller formal structure. This seems to be an exception to Caplins statement
9
that the contrasting middle is less often composed as a conventional theme-typethe B section
has a loose organization in relation to the more tight-knit A section.3 In fact, though, the
contrasting middle is made up of two hybrid theme types; they are both the same theme type as
the A section, Hybrid 3. The second phrase (mm. 24-31) is a repetition of the first (mm. 15-23),
only in C major instead of E major. Though the B section uses a hybrid rather than a
conventional theme type, hybrids are still considered tight-knit; it is the second part of Caplins
statement that proves exceptional, not the first.
The recapitulation (mm. 32-40) is an exact recapturing of the A section, bar two notes.
This poses a problem in terms of harmonic closure, as the A section, and now the A section,
ends in the dominant. The codetta (mm. 41-44) that ends Romeos piece remedies the situation
by modulating back to F major.
Formally, Romeo sets the character up as fairly straightforward, uncomplicated, but
with a few surprises tucked away. The codetta acts as one of those surprises, a romantic side of
Romeo revealed (ex. 2.5). The ascending melody, slower tempo, change in instrumentation, and
thick major chords lend the codetta a dreamier quality than the rest of Romeo. One pictures
Romeo looking wistfully into the distance, dreaming of his one true love, but in the context of
home, grounded by a return to tonic.
10
Example 2.5: Codetta, Romeo (mm. 41-44)
Romeo shows several melodic tendencies, only a couple of which are reflected in
Stephensons discoveries about melodic tendency in Romeo and Juliet in general.4 His study
focuses on melodic tendency of consecutive and non-consecutive pairs of pitch classes in
melodies from Romeo and Juliet, especially in relation to traditional tendencies like resolution of
the leading tone to tonic by stepwise motion. Because Prokofievs chromatic pitches can function
in several different ways (for example, Gb and F can mean the same thing functionally in C),
Stephenson refers to notes by pitch class, where tonic = 0. Keeping that in mind, Stephenson
states that traditional tendency tones 5 and 11 preserve their traditional roles, although they
assume new secondary roles as well.5 In the case of Romeos theme, only the latter pc both
retains traditional tendency and assumes a new role. Pc 11 most often follows the traditional
tendency of resolution to pc 0, but does also move to pcs 9 and 10, Stephensons new
secondary roles. Pc 5, on the other hand, does not follow the traditional tendency of moving
directly to pc 4. Instead, it goes first to pc 3 and from there to pc 4. However, the motion away
from pc 5 in Romeo does agree with Stephensons other findings it never travels to pc 0 or
pc 11.
4
5
Stephenson, Melodic Tendencies, 116-118.

Ibid, 118.
11
Few of the remaining pitch classes move according to the positive tendencies of
Stephensons findings. That is, these pitch classes do not necessarily go to the expected pitch
classes, whether those expectations reflect traditional tendencies or new secondary roles. Much
of the melodic motion does, however, reflect the pitch classes negative tendencies, meaning the
expectation that a pitch class will not go to specific pitch class is fulfilled. In other words, pc 2 is
not likely to repeat or move by tritone; pc 4 never goes to pc 10; pc 7 is unlikely to go to pcs 1
or 11; etc. While not all of the negative tendencies are recognized (for example, pc 8 moves to pc
4 as often as it moves to pc 9, a positive tendency), far more negative than positive tendencies
are observed. In general, despite sharing mostly negative tendencies with Stephensons results,
Romeo does follow his three principles: (1) that any pitch may be followed by practically any
other pitch, although (2) conjunct motion is preferred, and (3) motion by tritone is avoided.6
Some of the discrepancies are due to the fact that Stephensons study included only the B section
of Romeos theme, rather than the complete theme. This study considered the entirety of
Romeos theme.
Noticeably absent from Romeos theme is any type of Ursatz or derived motive.7 Though
pc 4 (scale degree 3) is one of the most frequent melodic notes, no satisfactory structural descent
occurs. Aside from the fact that the ternary proper does not end in tonic, half of the cadences,
including the cadence in the tonally resolving codetta, have ascending melodic figures. Whats
more, many of the pitches of the Urlinie would, by necessity, be in an inner voice. There are only
two small-scale 3-lines, both of which take place in the B section and overcome ascending
cadences. A larger, parallel descent does not occur, nor do parallel descents occur in any other
Stephenson, Melodic Tendencies, 118.

Because Prokofiev composed in the Modern style, Schenkerian analysis does not always fit with Prokofievs
music, or vice versa. This is especially relevant in such pieces as Cinderellas Duet, where Prokofievs harmonic
and melodic language affect the Ursatz.
7
12
section. As a result, the only possible motive is actually a repetition of the same motive in a
different key, which matches none of Rifkins requirements. The three motives she defines are as
follows: [systemic] motives are diminutions of first-level middleground progressions; nonfunctional pitch-class motives are ordered progressions of pitch classes; and functional pitchclass motives are ordered progressions of pitch classes with scale-degree functions.8
Prokofiev uses mainly authentic cadences in Romeo, but in a few cases they are altered
in some way. Alterations may take the form of chromatic substitutions for diatonic pitches,
mediant substitution for dominant harmony, or predominant substitution for/simultaneity with
dominant harmony (see ex. 2.6). According to Bass, a chromatic substitution does not function
as an altered note, but represents a tonic one.9 In this case, though the substitute functions as if
it were diatonic, it alters the quality of the chord and sound of the cadence, distinguishing it from
true diatonic cadences, which Prokofiev still regards as the strongest cadences. The mediant
substitution is stronger than the predominant substitution because of its typically major quality,
leaping bass, single common tone, and stepwise voice-leading. A predominant simultaneity with
dominant harmony, such as ex. 2.6c, is stronger than both substitution types because of its
retention of dominant harmony (enharmonically spelled), strong dominant-tonic bass motion,
and traditional voice-leading. Both perfect and imperfect cadences can be subject to alteration.
Many of these cadences are obscured by non-chord tones, which are often difficult to
distinguish from altered notes. Harmonic rhythm offers insight into which notes belong to a
chord and which are non-chord tones. The harmonic rhythm set up in the introduction sounds a
new harmony every quarter note. Understanding this to remain unchanged, cadences within the
A sections are all unaltered-IACs with chromatic non-chord tones on the beat (see ex. 2.7).
8
9
Rifkin, A Theory of Motives, 278.

Bass, Chromatic Displacement, 199.
13
Example 2.6: Altered cadences
2.6a. Chromatic substitution, altered-PAC;
from Romeo and Juliet Romeo (mm. 42-43)
Example 2.6: Altered cadences

2.6b. Mediant substitute for dominant harmony, altered-PAC;
from Romeo and Juliet Juliet (m. 2)
2.6c. Predominant simultaneity with dominant harmony, altered-IAC;

from Cinderella Duet (mm. 5-6)
14
Example 2.7: IACs with non-chord tones, Romeo (mm. 6-7, 13-14)
Cadences within the B section may be altered-PACs (mm. 22, 30), if only because they
end on a root-position tonic with scale degree 1 in the top voice (see ex. 2.8). However, there are
two possible harmonic readings of these cadences, both of which reveal the cadences to be IACs.
Though the harmonic rhythm has been the quarter-note, mm. 22 and 30 prolong the dominant
harmonies that fall on the downbeats. The bass arpeggiation ultimately results in an inverted
dominant, thereby creating an unaltered IAC. There is one problem with this reading: the seventh
of the dominant does not resolve down, but up. This suggests that the penultimate chord, though
it still prolongs the dominant, is in fact a leading-tone chord, viio6. Because of the ascending
scale degree 4 and the lack of a dominant root in the penultimate chord, the best interpretation
considers these cadences unaltered leading-tone IACs.
15
Example 2.8: Alternate readings of unaltered IACs, Romeo (mm. 22-23, 30-31)
The single cadence in the codetta (mm. 42-43; see ex. 2.6a) relates closely to those of the
A sections in a few ways and references the B section in one way. The bass motion shows rootposition V to I, as the harmonic rhythm supports in the exposition and recapitulation. Though the
harmonic rhythm has slowed down for the codetta (one harmony per measure), the principle
remains the same. The harmony on top of the dominant bass, however, is E major, or VII in F.
Taking the bass and upper harmony together, a V+7 is formed. The root-position bass motion is
maintained while the upper voices move in the same smooth voice-leading as seen in the A
sections (the left hand of the piano is the exception, as it retains structure over voice-leading).
This forms an altered-PAC, the only perfect cadence in Romeos theme. The prominent use of
E major references the B section, the only other part of the piece to highlight that harmony as a
tonal center.
There are three tonal centers throughout Romeo: F major, C major, and E major. The
relationship between the first two is obvious; relationships between E and the other keys are less
so. As mentioned above, a connection can be made between the tonal center E major and the
penultimate cadential harmony E major. However, the tonal center lies between two C major
phrases while the cadential harmony functions as part of the return to tonic.
16
C and E have a mediant relationship, one that occurs elsewhere in Prokofievs ballet. The
use of a mediant relationship can imply maturity, as it is slightly more difficult to achieve than
the F-C modulation and is accomplished quite smoothly; it also might imply a small sense of
rebellion, as the keys are not closely related. In context, the first modulation between C and E
occurs between thematic ideas that characterize Romeo as first a jaunty youth and then a
romantic man. This suggests that the key relationship is indicative of some level of maturity.
Furthermore, the cadences in the lyrical B section are more normative, which argues against the
rebellious characterization.
In addition, the legato thematic idea of the B section sticks most closely to the diatonic
scale, first in E major and then in C major. Though the F major introduction and beginning of the
A section seem diatonic, the fourth scale degree is almost always raised. The only times it
appears diatonically are in cadential or modulating passages. This does not really affect the
stability of tonic, but does create a non-functional descending 5-6 sequence in the introduction.
Harmonic progression in the B section, on the other hand, begins normatively and functionally
(I V6 vi vi7) which, coupled with the use of primarily diatonic pitches and traditional
unaltered cadences, gives Romeo an aspect of maturity.
The brevity of Romeos theme implies a lack of depth, a misleading characterization.
Though Romeo is not too complicated, as portrayed by the form, the varied characters of the
thematic ideas reveal him to have many aspects. He is cocky, youthful, and romantic. The
regular presence of authentic cadences shows him to be sure of himself, while the slow,
ascending codetta provides a glimpse into his dreams. His maturity is portrayed through smooth
harmonic transitions between keys.
17
Juliet
The woman with whom Romeo falls in love is Juliet, and she is in fact little more than a
girl. However, her theme is much more elaborate than Romeos:
The most striking portrayal is that of Juliet, first presented as an excitable young
girlBut what follows is quite new for Prokofiev a tender theme played by flute, with
a richly coloured counter-melody from solo cello; it perfectly captures the guileless
warmth of a girl on the verge of womanhood, her thoughts touching a new emotional
depth.10
Juliets theme (rehearsal 50) presents several different but complimentary aspects of her
character, as evidenced by the above quote. As a result, the form is more complex than that of
Romeo. Juliet is a modified rondo form, as evidenced by the returning refrain (A) (see table
2.1). Accompanying the exchange between refrain and couplet are textural, articulation, and
occasional tempo changes. The only real modification of rondo form is the insertion of a second
C-space after D, where the refrain should return. Without the second C, Juliets multi-part piece
would be a clear cut seven-part rondo with coda. As it is, the out-of-place reiteration of C implies
strongly that that particular theme is significant, either in characterizing Juliet or in
foreshadowing future events, or both.
10
Jaffe, Sergey Prokofiev, 136.
18
Table 2.1: Form chart of Juliet the Young Girl11
Section
Measures
A
1-4
5-8
9-13
modified period
Theme Type
alteredPAC
14-19
C
alteredPAC
altered-IAC
Section
19-26
27-30
43-48
Theme
Type
Tonal
Center
phrase
group
48-51
period
C
PC
52-55
F
alteredIAC
alteredIAC
A
31-34
mod.
period
period
F-E
E-C
Ab
HC
alteredPAC
PAC
Measures
Cadences
modified period
Tonal Center
Cadences
C
56-60
60-63
64-67
68-71
presentation + consequent
= uncommon hybrid
period
F-E
F
alteredIAC
PAC
35-42
mod.
period
A
alteredIAC
PAC
CODA
72-79
80-89
mod.
period
C
PAC
alteredPAC
alteredIAC
Aside from the slightly modified rondo form, the only other large-scale formal item of note is the
addition of a coda. The material is almost entirely new, with only one recognizable fragment of
an earlier motive (m. 82), drawn from the lengthy D couplet. Changes in tempo, dynamic,
texture, expressive marking, and instrumentation serve to separate this section from the rondo
proper. There is no harmonic reason to append this coda, as the final refrain ends on tonic.
Thematically, the coda offers no noteworthy material as nothing is developed even on a small
scale. Therefore, its relevance must be found in the interplay between the character of the refrain
and couplets.
The four A sections are almost identical, the most significant difference being tonal
center. The form of the refrain is slightly confused; while obvious relationships between twomeasure groups abound, the order of the groups defies traditional phrase structure analysis. The
11
All tables, excepting reproduced sections, can also be found in the Appendix. These may be helpful as an
overview while reading.
19
two-measure groups consist of an ascending or descending scale followed by a chordal cadential
group (ex. 2.9). However, the four scalar passages form more of an arch form than a traditional
theme type, as the pattern established is this: ascending descending descending ascending.
Rhythmic differences, such as the use of sixteenth- and eighth-notes vs. only sixteenth-notes,
hint at a larger division of four measure phrases. Though the scalar passages beginning each
phrase move in opposite directions, they sound the same scale and harmony, creating a tonal
association in addition to the rhythmic association that determined four-measure phrases.
Leaving directionality aside, all other aspects of the phrases point toward a period structure.
Including directionality forces one to qualify the period as modified. The use of a modified
period in which everything is related but in the wrong order gives the A sections a sense of
playfulness, one aspect of Juliets character.
Example 2.9: Two-measure group characteristic of the A section, Juliet (mm. 1-2)
The form of the B section (mm. 9-18) is less unusual, but still imperfect (see ex. 2.10).
Four-measure phrases are easily distinguished and seem to form another, more correct period. A
closer look at the thematic and cadential aspects of each phrase reveals a new difficulty, though.
As shown in table 2.1, the cadence in the middle is an altered-IAC; the end cadence is a half
20
cadence. Furthermore, the two measures preceding the altered-IAC (mm. 11-12) give the
impression of standing on the dominant (they are actually standing on the supertonic) and make
use of a tonic pedal, two traits usually found at the end of traditional theme types. Leading up to
the half cadence is an idea more melodic than cadential, though it serves the latter purpose as
well. In essence, the two phrases of the B section are switched, affecting an even greater
modification of the period than that of the A section, though less motivically apparent. Of the
couplets, B is the most similar to the refrain in terms of tempo, articulation, and instrumentation.
All of these aspects in addition to the formal modification strengthen the impression of a playful,
mischievous, excitable young girl.
Example 2.10: Beginning of B section, Juliet (mm. 9-13)
The second couplet, C (ex. 2.11), provides the first glimpse of a different facet of Juliets
character: mature calm. This is accomplished formally by abandoning childish rearrangement of
phrases in favor of traditional phrase structure. The second couplet is a period, the only
normative period in the entire piece. It is practically a textbook example of the period, with two
four-measure phrases made up of a basic idea and contrasting idea and concluded with a
cadence. It may also be considered a repeated phrase, as the cadences are both unaltered PACs,
except for contextual clues. The first cadence does not sound as strong for several reasons,
including approach by leap and continuation of the preceding accompanimental pattern. For
21
these reasons, C is not merely a repeated phrase, but a period. Subtle alterations in the
consequent phrase, such as a stronger cadence, reveal Juliets maturity.
Example 2.11: Antecedent phrase of C couplet, Juliet (mm. 27-30)
The D section (ex. 2.12) is the longest section of the piece and also the most formally
haphazard. Most of the phrases are a very standard four measures long. The only exception is the
first phrase (mm. 43-48), which is six measures in length. Those six measures are only somewhat
related to everything that follows, suggesting that it functions in an introductory manner. Elided
with the end of the introduction is the beginning of a period (mm. 48-55), which involves a
change in texture but harmonically concludes the introduction. Interestingly, the basic idea
(mm. 48-49) is played by the cello while the contrasting idea (mm. 50-51), which involves
fragmentation, is primarily in the flute (see ex. 2.13). The same is true for the consequent phrase
(mm. 52-55), though the fragmentation and cello involvement in the contrasting idea are greater.
Cadences in this period pose more of a problem than those of the C section in that they are
equally strong (or equally weak) in different ways. The first (mm. 50-51) has a stronger, stepwise
approach but is followed by a neighbor figure. The second (m. 54-55) actually resolves first to vi
(a minor), sans fifth, which is quickly transformed to I and succeeded by uninterrupted
22
repetitions of the local tonic (F major). Cadential confusion over an otherwise stable period is not
the most important part of the D section, though.
Example 2.12: First phrase of D couplet, Juliet (mm. 43-48)
Example 2.13: Antecedent phrase of D couplet, Juliet (mm. 48-51)
The third part of the D couplet (mm. 56-63) has three statements of the basic idea, only
the last of which goes on to state the contrasting idea and cadence. In short, these eight measures
form a presentation and a consequent phrase. Caplin has no name for this hybrid, except to call it
an uncommon hybrid type, due to the fact that the resulting redundancy of materiallikely
explains why this potential type of hybrid seldom occurs.12 However, he does refer to this
hybrid in a Classical harmonic context, not the harmonically freer Modern style in which
12
23
Prokofiev composed. Still, this is the first and only use of a hybrid of any type in Juliet,
probably composed in this way to accomplish a smooth modulation from F to E. Formal
complexity, especially in the use of an uncommon hybrid, reflects Juliet as a surprisingly
complex character. She is not just the playful girl with mature moments, but a young woman
who recognizes her various character traits and ponders them.
As has been stated, the coda (mm. 80-89) serves no harmonic or thematic purpose, so
must be related through character. Its Andante tempo, legato articulation, and single referential
fragment relate the coda most closely to the D section, which has been shown to reflect Juliets
complexity (see ex. 2.14). The occasional chordal structures, especially at the very end, reference
the chords of the refrain, or Juliets girlish qualities. Juxtaposing the two most extreme aspects of
her character makes this the most reflective section of the piece. Ending the entire piece with a
reflective coda forces the listener to recognize that Juliet has depth, something that may have
gone unremarked if the rondo form had been ended normatively, with the refrain.
Example 2.14: Coda, Juliet (mm. 80-89);

Reference to D couplet in red box
Melodically, Juliet is quite varied. However, there is one functional pitch-class motive
that appears throughout. The most frequent occurrences are at cadential moments in the refrain.
24
According to Rifkin, in every recurrence [in the key of C], B acts as a dominant agent to C.13
Even when the supporting harmony is the mediant instead of the dominant, the functional quality
of the seventh scale degree remains unchanged.
The tendency of scale degree 7 to resolve to tonic matches Stephensons pitch class
tendencies for that pitch class, pc 11. Other pitch classes adhere to the tendencies noted by
Stephenson, including Prokofievs new tendency tone, pc 4. According to Stephenson, in this
style the pitch shows a single, strong, positive tendencyto move to 2.14 Indeed, in Juliet, pc
4 moves to pc 2 more frequently than any other pitch class. Prokofievs second new tendency
tone, pc 10, is one of the rarest melodic pitch classes in the piece, and as such does not provide a
strong example of the supposed new tendency of going to pc 11. In the context of Juliet, pc 10
moves twice as often to pc 0 than to pc 11, but the number of occurrences in each case is so low
as to render useless any conclusions concerning tendency.
Like the melodic motion of Romeo, most of the tendencies followed by Juliet are
negative. Some of the positive tendencies do remain, but are overshadowed by a different
positive tendency not in line with those discovered by Stephenson. For example, pc 0 moves to
pc 11 more often than to pc 4, the tendency noted by Stephenson for Romeo and Juliet as a
whole. Pc 7, though it expectedly goes to pcs 0 and 5, moves to pc 9 just as often, a tendency
not recognized as universal to the ballet. In short, Juliets theme, while it includes some
tendencies used throughout the entire ballet, also includes different positive tendencies. Negative
tendencies remain the same, for the most part.
The strongest negative tendency, motion by tritone, is true for most of the pitch classes in
Juliets theme. However, two pitch classes in particular are followed by a tritone leap at least two
13
14

25
times: pc 1 and pc 5. Remarkably, every example of the melodic tritone is at a cadence point,
particularly approaching altered-PACs. The four examples of the pc 5-11 tritone lead into the
recurring altered-PAC in the middle of the A sections and facilitates stepwise resolution. The
two examples of the pc 1-7 tritone occur in mm. 41 and 78-79, before the sections representing
Juliets thoughtful maturity (D and the coda) begin. In effect, the latter tritone alerts the listener
to a coming change in character while the former reaffirms Juliets playfulness. So, while the
tritone is more common in Juliet than in Romeo, it is used in a specific context.
The melody of the C section is completely diatonic, unlike several of the previous
melodies, and supported by mostly unaltered diatonic harmonies. The strict diatonicism
represents Juliets maturity by showing that she knows and can follow the traditions she has been
taught. What truly reveals her maturity, though, is not the fact that form and tonality are
respected, but the melodic variation of the consequent phrase (see ex. 2.15). It is clearly the same
melody as in the antecedent, but altered rhythms and added notes distinguish it from the first
statement,
Example 2.15: Variation of antecedent melody in consequent phrase, Juliet (mm. 27-34)
26
Juliet shares the same tonal centers as Romeo, with the inclusion of a couple more
(refer to table 2.1). In addition to C, F, and E major, Juliet also sounds Ab and A major. All of
the tonal centers can be understood as having mediant relationships (F-A-C-E-Ab=G), though
they do not appear in order. Two of the mediant sets do appear together within the music, stating
more explicitly their large-scale relationship through harmonic progression (see ex. 2.16). The
first deviation from the shared tonal centers (F, C, and E), all of which are sounded before a new
key enters, coincides with the beginning of the C couplet (m. 27). There is no transition from C
major (the end of the second refrain, m. 26) to Ab major, emphasizing the mediant relationship
and new thematic idea. Likewise, a transition between Ab and A (beginning of third refrain, m.
35) is lacking. In fact, the only transition between couplet and refrain is after the half cadence in
m. 18, between the B and A sections. There are transitions between keys within sections, though
direct modulations are used as well.
Example 2.16: Small-scale version of mediant key relationship

introduced in harmonic progression, Juliet (m. 2)
The only key present in Juliet that is not found in Romeo or introduced in a
preceding harmonic progression of Juliet is A major. Its introduction is preceded by Ab major,
27
which is a semitone distant, mimicking another semitone relationship already established: F to E.
Unlike the direct modulation from Ab to A, those from F to E are mediated by common and
altered chords. However, the motion from F to E is a semitone down while that of Ab to A is a
semitone up. The one upward E to F modulation (between the D and C sections, mm. 63-64) is
direct, linking the four keys more closely. Unfortunately, there is no consistent progression
matching the semitone relationship as there is sounding the mediant relationship. The only
possible example is in the D section, a single altered-IAC cadence of VII7I (see ex. 2.17).
Example 2.17: Small-scale semitone relationship? Juliet (mm. 50-51)
Another possible explanation for this cadence that would negate its relationship to the
semitone tonal shift is its function in e minor. Out of context, the example suggests a sudden
shift to e minor, creating a deceptive cadence. However, the music preceding and immediately
following the cadence is strongly in C major, supported by tonic arpeggios, primarily diatonic
accompaniment, and the insistence of the melodic leading tone, B. Also, the same phrase returns
in a different key in mm. 60-64, where the melody follows the exact same pattern, culminating
on tonic. The cadential harmony is also the same, but looks quite bizarre because of enharmonic
28
spelling. Prokofiev may simply have spelled the penultimate harmony enharmonically for easier
reading, but the resulting appearance does not suggest a dominant (ex. 2.18). Due to the lack of
any significant progressions including A major before the tonal center is established, it is the
most tenuously connected to the tonal structure of the piece. Also weakening consideration of the
cadence as a small-scale representation of the tonal relationship is the lack of recurrences and the
presence of a seventh. Though unusual, this progression is more functional than the mediant
relationship outlined in example 2.16.
Example 2.18: Enharmonic VII, at a parallel moment with ex. 2.17; Juliet (mm. 62-63)
Cadences in Juliet are more varied than those of Romeo, due in part to the length and
complexity of the piece. Altered-PACs are the most common cadence, followed closely by
altered-IACs. Unaltered cadences are used periodically throughout, most particularly in the C
sections, but also within the other couplets. The use of complete, unaltered cadences in the
couplets only emphasizes their representations of Juliets mature characteristics. Along the same
lines, though the B section is further elaboration of Juliets childlike qualities, the only unaltered
cadence in that section is a half cadence an incomplete cadence, just as the child Juliet is
incomplete and the representation of her as a girl provides an incomplete picture of her character.
29
The altered cadences take many forms, including the use of a raised fifth, mediant-tonic
resolution, Neapolitan-tonic resolution, and more. Of these, the first two (raised fifth, medianttonic resolution) are used most frequently. Example 2.19 shows a typical raised fifth cadence (for
one example of the mediant resolution, see ex. 2.16). This is a familiar type of altered cadence,
as it is also found in Romeo. Like the altered cadences in Romeo, the bass motion reflects
root-position dominant-to-tonic harmony. Bass motion of the mediant cadences reflects rootposition harmonies, as well.
Example 2.19: Altered-PAC; Dominant has raised fifth, Juliet (m. 38)
Unlike Romeos cadences, however, the highest voice does not always resolve by step,
even in unaltered PACs. This is not always the case, and often a high inner voice provides the
stepwise motion avoided by the highest voice. The majority of these leaping resolutions are
found at the end of the A sections, though there is one within the otherwise traditional C section
(ex. 2.20). That cadence is less unusual than it looks because, though the melodic voice resolves
immediately by leap, it is from scale degree 7 to scale degree 1, an inverted resolution. Scale
degree 1 is then repeated an octave higher, in the same register as scale degree 7. It is actually a
compound melody, in which the G5 resolves up to Ab5 and the downbeat Ab4 is approached
30
from Bb4. There are a couple of leaping cadences in which the sparse texture forces the inner
voice that would normally resolve to a doubled tonic to move elsewhere, so that the leaping
resolution stands out (see ex. 2.21). This is possibly the result of the unusual second-inversion
cadential harmonies, as well as the C passing tone. The passing tone subverts the expected
downward resolution of Bb, allowing the highest voice to leap up to the root. It also results in
different yet smooth voice-leading for the inner voice. The bass, too, moves by semitone, which
leaves the highest voice no option but to leap up to the root, or form an incomplete chord.
Though tonic harmony is achieved on the downbeat of measure 42, the true resolution occurs on
the third beat. These leaping resolutions produce a feeling of exuberance, a joyful, small-scale
abandonment of tradition. Of course, the presence of such cadences almost exclusively in the
refrain adds to the already established girlish, untrained side of Juliets character.
Example 2.20: Leaping PAC, Juliet (mm. 29-30)
Example 2.21: Altered-IAC, highest voice resolves by leap,

inner voice cannot double resolution, Juliet (mm. 41-42)
31
Cadences, thematic ideas, form, and instrumentation all influence the musical depiction
of Juliet. Her character is more deeply explored than Romeos, as evidenced by the number,
variations, and order of themes. She is a complex character with many facets; part child, part
woman, and completely unique.
Love-Dance
Romeo and Juliets Love-Dance (rehearsal 142) is the first time the couple dances
together and follows the famous balcony scene. The dance has many unique, recognizable
thematic ideas that convey different aspects of the main characters love, including exuberant
passion, sweetness, playfulness, and its ultimately tragic end. Thematic portions and characters
from both Romeo and Juliet appear in this piece, binding the two lovers together.
The form of the piece is bizarre in several ways. Elided beginnings and endings of
phrases, a lack of clear cadences, and seemingly haphazard order of thematic ideas all distort the
large-scale formal structure. A change in tempo, tonal center, accompanimental pattern, and
thematic ideas occurs a little over halfway through (m. 57), suggesting a two-part form. None of
the themes from the first half return after that point. However, there is no divisive cadence
between the two sections, complicating an already confused form.
Phrase structure is equally unclear, as phrases could be anywhere between three and
seven measures long, depending on cadences, elisions, and thematic idea (see table 2.2). Due to
the plethora of thematic ideas and the complexity of the phrase structure, different themes are
identified by lowercase letters instead of Caplins basic idea, contrasting idea, and continuation.
Study of the table reveals that not only are phrase lengths unequal (though consistent themes
(d) and (e) are always four measures long), the cadences at the ends of phrases are inconclusive.
32
That is to say, what cadences there are, though they work harmonically and in terms of phrase
length, do not sound final. Oftentimes this is due to one or more added notes, an ambiguous key
area, a continuous melodic line, metrically weak placement, or elision.
Table 2.2: Form chart of Love-Dance

A Section
Thematic Idea
Measures
Tonal Center
Introduction
1-4
5-7
8-10
10-12
13-16
16-18
19-22
23-26
C-E
alteredPAC?
F
alteredIAC
a?
C-E
(alteredIAC?)
C
(alteredIAC?)
Cadences
(HC?)
Thematic Idea
Measures
Tonal Center
d
27-30
A Section Continued
e
F
d
31-34
35-38
39-42
C?
Ab?
E
e
43-46
C?
Cadences
(HC)
(HC?)
(HC?)
??
(HC)
(HC)
a
47-52
a?
alteredPAC
trans.
53-56
B Section
Thematic Idea
Measures
Tonal Center
Cadences
trans
57-63
64-68
69-75
76-79
82-84
85-91
92-95
100-103
Eb
(IAC)
HC
(IAC)
Eb
alteredPAC
Eb
alteredPAC
Bb
alteredPAC
(IAC)
The clearest example of elision is in mm. 15-16, shown in example 2.22. According to
the first and third statements of the (a) theme (mm. 5-7, 16-18), the theme is three measures long
and any cadence, inconclusive or otherwise, falls in the third measure. While the bass of m. 15
looks like dominant-tonic motion, neither the upper nor inner voice agrees. The addition of a
melodic slur across the barline indicates that even if the third beat of m. 15 were a possible
33
cadential harmony, it is related more to what follows than what came before. As a result, the
cadence falls in the next measure, functioning not only as a cadence but as the harmonic
underpinning of another restatement of the (a) theme.
Example 2.22: Elided cadence of (a) theme, Love-Dance (mm. 13-16);

Circled area indicates where the cadence should fall, boxed area indicates actual statement,
which coincides with the beginning of the next phrase
The pseudo-half cadences at the end of statements of the (d) theme are examples of
metrically weak cadences (ex. 2.23). In almost every case the melodic note is the supertonic,
supported by ii7 over a tonic pedal. Despite its predominant quality the harmony has a dominant
feel due to the dominant-associate function of scale degree 215, interrupted melodic descent from
scale degree 3, and previously sounded predominant harmony. The use of any type of half
cadence is unusual for Prokofiev, as established in both Romeos and Juliets themes, and yet in
Love-Dance nearly every statement of the (d) theme ends with this predominant-as-dominant
half cadence. This affects an aural sweetness, a pause and intention less offensive to the ear for
its gentle predominant harmony than the pushier dominant counterpart. As the (d) theme is the
most tender one in the love dance, such a cadence seems appropriate.
15
In Rifkin, A Theory of Motives, 274.
34
Example 2.23: Theme (d), including predominant half cadence, Love-Dance (mm. 18-22)
Uncertain cadences are also caused by ambiguity of tonal center, as in the (e) and (f)
themes (theme (e), ex. 2.24). These are the only two flat-side themes of the A section, the former
making its way to the minor dominant of C major, a dominant established through repetition and
crescendo, not resolution. C major is present only briefly in the (f) theme (ex. 2.25), which itself
moves to the unprecedented harmony of eb7 and proceeds back to a theme in E major! The
second statement of (e) is resolved more promptly (m. 47), but that resolution is also quickly
transformed. These minor sections with ambiguous key centers and cadences serve a purpose
other than moving away from or back to a major key; they foreshadow the lovers unhappy end.
Example 2.24: Theme (e), Love-Dance (mm. 42-46)
35
Example 2.25: Theme (f), Love-Dance (mm. 34-38)
The B section has clearer phrase structure, though still unusual. There are more cadences,
especially altered and unaltered authentic cadences, fewer thematic ideas, and more
straightforward key areas. The pertinent section from table 2.2 has been reproduced below, as
table 2.3. Interestingly, the only theme that contains an even number of measures is also the one
that ends most conclusively, with a V+7 - I altered-PAC, a familiar strong cadence. This is theme
(i), which sounds remarkably like the codetta from Romeo (ex. 2.26). Romeos codetta and the
love dances theme (i) are identical in terms of melody and cadence, though the predominant
harmony is different. In Romeo, the codetta represented the heros romantic dreams; in LoveDance the same thematic idea represents the achievement of the romantic dream. The repetition
of theme (i) at the end of the piece reinforces such an interpretation.
Table 2.3: Thematic layout of the B section, Love-Dance
Thematic Idea
Measures
Tonal Center
Cadences
trans
57-63
64-68
69-75
76-79
82-84
85-91
92-95
100-103
Eb
(IAC)
HC
(IAC)
Eb
alteredPAC
Eb
alteredPAC
Bb
alteredPAC
(IAC)
36
Example 2.26: Theme (i), Love-Dance (mm. 92-95)
Other themes in the B section vary in length and cadence type, from three to five to seven
measures long. The longest theme, (g), is the most definitive of the section and represents the
playful side of Romeo and Juliets love (ex. 2.27). Aside from opening the B section,
establishing a new key and faster tempo, and returning as often as theme (i), it also changes the
real measure. Whereas the A section has an identical real and notated measure, the real
measure of the themes in the B section, except for (i), is every two measures. This causes some
difficulty in determining phrase structure, as most of the themes are uneven in length. Even
discounting phrase length, the location of cadences presents a problem. If one considers mm. 5779 a period, the leading-tone IACs within the phrases (mm. 63, 75) are too many. However,
these are very weak cadences for several reasons, the most prominent being inversion. In both
cases the tonic arrival is initially supported by a first-inversion tonic chord, and in the second
case is transformed, only very briefly, into a root-position chord. A tonic pedal sounds under the
whole phrase, pushing the harmonic progression to resolve. Partial displacement16 of tonic
harmony so that it sounds more fully under the dominant-functioning ii7 weakens the sense of
16
37
arrival (see ex. 2.28). Still, there is no doubt that Eb major is the controlling harmony, as the
uppermost voice arpeggiates tonic in m. 63.
Example 2.27: Beginning of B section, theme (g), Love-Dance (mm. 57-60)
Example 2.28: Tonic bass displaced to sound under dominant ii7, then transformed into
submediant harmony through passing motion, Love-Dance (mm. 62-64)
After the bass and upper voices seem to coincide halfway through the measure, the
expected root-position tonic is thwarted by passing bass motion that converts it into the
submediant, shown above. The same transformation does not occur in mm. 75-76, though. Still,
partial displacement and retention of first-inversion harmony weaken the latter cadence enough
that it may be discounted, thereby forming a modulating period of uneven phrase lengths and
changing real measure. As for the remaining portion of the B section (mm. 85-103), the best
explanation is that it forms another consequent phrase with a repeated cadential idea. So, though
the B section is more organized than the A section, the form remains highly unusual.
38
The themes used most often in the A section, (a) and (d), have one quality in common,
namely rhythm. As example 2.29 shows, the beginning of themes (a) and (d) are almost exactly
the same in terms of rhythm, the most notable aspect being the triplet on the fourth beat of the
first full measure. Aside from the shared rhythm, though, themes (a) and (d) have little else in
common. The former is made up of a three-measure phrase while the latter is made up of a fourmeasure phrase. In both cases this excludes the pickup, which does not always appear,
particularly in restatements of the first theme. Melodically, the phrases are also quite different.
Example 2.29: Similar opening rhythms of themes (a) and (d), Love-Dance
2.29a. Opening rhythm, theme (a) (mm. 4-6)
2.29b. Opening rhythm, theme (d) (mm. 18-20)
Contour alone provides evidence of their divergent qualities, as theme (a) is almost entirely
ascending, with a final downward step, and theme (d) is much more fluid, with many changes in
direction. Melodies with different contours could still sound the same scale degrees, but this is
not the case.
Though constantly changing key areas and a lack of cadences make determining exactly
which pitch classes are used difficult (where 0 = tonic), the intervals used allow some
39
conclusions to be drawn. Both themes show a preference for stepwise motion, in line with
Stephensons findings for Romeo and Juliet. However, theme (a) uses more semitone motion
than whole tone while theme (d) is the opposite. Also, in the rhythmically similar portions of the
themes, theme (d) has only one instance of a leap larger than a major third: an octave.
Considering its inversion, the leap does little to interrupt the primarily stepwise motion. The
intervals in the corresponding section of theme (a), on the other hand, range anywhere between
unison and perfect fourth. In conjunction with the opposing directional tendencies, the intervallic
differences create unrelated melodies.
Of course, not all iterations of each theme are exactly the same, and in fact those of
theme (a) are often varied. However, its character of exuberant joy does not change, just as the
sweeter character of theme (d) remains the same. The general contours of the themes are also
unchanged, despite intervallic alterations, which themselves are altered only slightly. Because
the varied restatements of each theme are still recognizably related to the original statements, the
only exact relationship between them is rhythmic.
Themes of the B section seem more closely related to each other than those of the A
section. Theme (h) draws on moments from theme (g), particularly in terms of rhythm but also
melodically. Example 2.30 shows rhythmically identical and melodically similar excerpts of
themes (g) and (h). Unchanged accompanimental patterns help reinforce the relationship between
the end of theme (g) and the beginning of theme (h). The melodic similarity between the two
excerpts is twofold. The first part is the rising semitone motion of the pickup, boxed in red in the
example. Because the pitch classes serve different scale degree functions in their respective keys,
the first motive does not form a true functional pitch-class motive. The second motive is less
specific but no less present a rising arpeggio (blue box). In (g) it is approached by downward
40
skip and sounds the notes of a second-inversion tonic chord. The arpeggio in theme (h) is
approached by rising semitone and sounds a first-inversion dominant in the new key. This
motive is even less related to any of Rifkins types, but nonetheless creates an aural connection
between the two themes.
Example 2.30: Rhythmic and melodic similarities of themes (g) and (h), Love-Dance
2.30a. End of theme (g) (mm. 62-63)
2.30b. Beginning of theme (h) (mm. 64-65)
Another relationship between the melody of (h) and that of (g) can be found in example
2.31. The contours of these melodic excerpts are identical, though overall interval content is not.
Again, this melody is made up of two motives. This time, however, it is the first motive that least
corresponds to Rifkins motives. The scale degrees do not match, nor does the harmonic support.
In the second motive the scale degrees do match (4 5) and the harmonic support at least
41
sympathizes (some sort of VII to some sort of V), thereby forming a functional pitch-class
motive.
Example 2.31: Melodic motives in themes (g) and (h), Love-Dance
2.31a. Beginning of theme (g) (mm. 58-59)
2.31b. End of theme (h) (mm. 66-67)
One motive is not found in the melody, but in the bass. The passing motion of example
2.28 that transforms a tonic harmony and potential IAC into submediant harmony can be seen
elsewhere in Love-Dance. In all of its bass appearances it is used, not unexpectedly, to
destabilize one harmony or tonal center on its way to another. Most of the time the passing
motion is diatonic and moves from tonic harmony to some form of submediant harmony (mm.
63-64, 82-83). Occasionally the passing motion is chromatic, the most effective in traveling to a
new key (mm. 84-85). There are also examples of an extended passing motion from one tonal
42
center to another that includes both diatonic and chromatic pitches when considered in both keys
(mm. 76-77, 92-93). While this technique is deployed several times in the B section, it is used
only once in the A section (mm. 36-37). This is somewhat surprising, as many of the key areas in
the A section have a mediant relationship. Due to the fact that the harmonic context is not always
the same and there is no large-scale deep middleground passing figure, this is another functional
pitch-class motive.
As previously stated, the passing motive often links two tonal centers. Several times in
the B section it links two particular tonal centers: E major and Eb major. The proximity of the
two keys and the statement of the important theme (g) in both keys suggest a tonal chromatic
displacement. However, the tonal goal of the piece is neither of those keys, but Bb major. As it
is, the B section begins in Eb major and could legitimately stay there until the final statement of
(i) (mm. 100-103), where scale degree 5 of Eb becomes scale degree 1 of Bb. The turns to E
major do not help the piece arrive at Bb major. Were the B section organized harmonically so
that E major was introduced first and the goal remained Bb major, a displacement to Eb major
would be much more likely.
The alternation between Eb and E major does play into the character of the B section,
whose main theme (g) represents the playful side of the main characters newfound love. Where
the A section travels between slightly more sober themes in part defined by mediant-related key
centers, the B section throws that tradition to the wind. Instead of stepping gracefully between
closely related keys, it skips joyfully (but no less smoothly) between distantly related keys. The
playful character of the B section is reminiscent of Juliets child-like themes, though they have
little in common aside from quick tempo. Placing the theme with Juliets youthful playfulness
43
(g) immediately next to Romeos romantic dream theme (i), and in fact concluding it with the
latter, provides a musical depiction of their mutual love.
Romeo and Juliets love for each other as portrayed in the love dance is multi-faceted,
unpredictable, and expansive. Its unpredictability is most apparent in the lack of a traditional or
stable large-scale form and the disregard for normal phrase structures. Its expansiveness is best
characterized by the absent and weak cadences of the A section and the ongoing melodic ideas of
both sections. The various thematic ideas provide windows into the many different aspects of
their love, from sweetness to playfulness to passion.
Summary
In this chapter, Romeo and Juliets themes were shown to reflect their individual
characters through their form, phrase structure, thematic content, and harmonic decisions.
Romeos straightforward small ternary formal structure shows him to be an uncomplicated
person, though thematic ideas reveal emotional depth. Juliets more complex modified sevenpart rondo form characterizes her as a multi-faceted young woman, whose many attributes
playful, thoughtful, and mature combine to form a complete, unique whole. Both themes
include a coda/codetta after the form proper, adding another layer of depth to the characters.
Phrase structure adds a little more insight into each character. All of the theme types in Romeo
are Caplins Hybrid 3, revealing the hero to be slightly bold. Theme types in Juliet vary, but
are mostly periodic. The greater variety of theme types supports the complex aspect of Juliets
character, while the overarching use of periodic construction provides a unifying structure.
Melodic tendencies are similar in the main characters themes, though Juliet makes
greater use of pc 4s new tendency while Romeo is more traditional. Both show a preference
44
for stepwise motion. Romeos theme lacks motives of any significance, but a functional pitchclass motive appears in Juliet. The functional pitch-class motive, though it appears most often
in the playful refrain, does show up in other sections of her theme, creating further connections
between disparate thematic ideas. Rather than motivic connections, Romeos thematic ideas are
drawn together by the unchanging accompanimental pattern that runs throughout; the texture and
articulation indicate his masculinity and jauntiness.
As with formal and melodic structures, harmonic aspects name Juliet the more complex
character, though Romeo has his share of the fun. Romeos maturity is evident in the
relationships of tonal centers F, C, and E major, and the smoothness of motion between them.
Particularly illustrative is the mediant relationship of C and E major. Juliets theme includes
several other key areas, introducing not only dominant and mediant relationships, but semitonal
key relationships as well, particularly F-E major and Ab-A major. Again, Juliet is more complex,
but is often less mature in the transition between tonal centers. Direct modulations are common,
revealing the untrained, child-like side of her character. Neither piece uses tonal chromatic
displacement, but smaller examples of chromatic displacement result in certain altered cadences.
Various types of altered and unaltered cadences are used in both Romeo and Juliet to
reinforce character-defining phrase structure, form, and thematic ideas. Unaltered cadences
usually accompany themes depicting maturity. Altered cadences tend to complete themes
representing more youthful aspects.
Romeo and Juliets partner dance, Love-Dance, is more formally complex than either
of the main characters pieces. It may be divided into two large sections (A and B), each of
which uses particular thematic ideas that do not cross sections. There is no cadence between the
two sections, creating a formal fluency comparable to the joining together of Romeo and Juliet.
45
Phrase structure is also unusual, due to the lack of conclusive cadences. The B section has the
clearest theme types, forming a period and another consequent phrase. The periodic structure is
reminiscent of Juliets theme.
The character of the (g) theme is derived from Juliets playful theme, while the cadential
portion (i) replicates Romeos codetta, merging their themes together. Both of these themes
appear in the B section, making that section the most descriptive of Romeo and Juliets love.
Themes from the A section, particularly (a) and (d), characterize different aspects of their love:
the euphoric discovery of love (a) and its tenderness (d). The A section also includes minor mode
and flat-side themes, foreshadowing the tragic end.
Tonal centers are often not fully established because of missing, elided, and weak
cadences. All of the keys used in Romeo and Juliet appear in Love-Dance, with the
alteration of A major into a minor and the addition of Eb major and Bb major. The latter two
keys are used exclusively in the B section, new tonal areas in which aspects of the individuals
themes can join to form a theme characterizing their mutual love.
Cadences from Romeo and Juliet also appear in the love dance, though the range of
strong and weak cadences is expanded. Unlike Romeo and Juliets cadences, the majority of
those in the love dance are weakened by elision, alteration, or displacement. Elisions appear
primarily in the A section, as do the weakening alterations, which often take the form of
predominant-as-dominant cadences. Partial displacement, in which tonic harmony arrives
slightly too early, under dominant-functioning chords, weakens cadences in the B section.
There are many more motivic parallels between themes in Love-Dance than in either
Romeo or Juliet. These include rhythmic similarity between themes (a) and (d); functional
pitch-class motives, between themes (g) and (h), and in bass passing motion between tonal
46
centers; and melodic similarities that do not match any of Rifkins motives. The use of
connective motives unifies seemingly disparate parts of the love dance.
47
CHAPTER III. CINDERELLA
As a popular fairytale in practically every culture, the plot of Cinderella should be

familiar enough to forego rehashing. Let it be enough, then, to say that Sergei Prokofiev is one of
many composers who have dealt with the story of a woman who loses her shoe and finds true
love. Prokofievs ballet tells the story through music, characterizing Cinderella, her Prince, and
their love through individual themes and dances. This chapter will explore how formal, melodic,
and harmonic structures characterize Cinderella and the Prince in their individual themes, as well
as how those structures and the individuals themes affect characterization of their love in the
partner dance. A summary will be provided at the end.
Cinderella
Cinderella is portrayed in the most depth with the use of three themes, symbolizing her
mistreatment at home, her happier dreams, and her love for the Prince. These are all presented in
the number entitled Cinderella (rehearsal 20). Though all three defining themes are present, the
first theme (ex. 3.1), representing Cinderellas unhappiness with her home life, appears only
once and comprises the first eleven measures of the piece. Her unhappiness is revealed through
the form in several ways. First, its phrases are unequal in length. The basic idea and contrasting
idea are neatly presented in the first five measures and should, according to conventions of
symmetry, be followed by another five-measure group, presumably a restatement of the basic
idea. Instead it is followed by a six-measure phrase beginning with new material. This poses
quite a contrast to the succeeding B section, in which all four phrases are of equal length.
Second, as an eleven-measure theme that begins like a period but ends like a sentence, this
48
phrase group resists traditional labels. However, it does match Caplins Hybrid 1.1 This, too,
contrasts with the proceeding section, in which no hybrids make an appearance. Third,
fragmentation and repetition in the continuation portion provide a sense of increasing agitation
born out of the antecedent phrase. In other words, the antecedent phrase represents a sort of
resigned lament while the continuation describes the abandonment of resignation in favor of
frustration.
Example 3.1: Beginning of Cinderellas first theme (mm. 1-5)
These ideas of resignation and frustration are supported by the presence or absence of
cadences. There is no concluding cadence at the end of the A section, hampered by a thin texture
and unison ending. However, there is a sense of closure at the end of the antecedent phrase.
Calling it a cadence would place too much importance on the sense of closure because, like the
end of the continuation, the voices are playing in unison. Also, a tonic pedal under the entire
antecedent, the use of only two melodically outlined harmonies (vii(7) and i in g minor), and the
melodic conclusion on scale degree 5 weaken its function as a cadence. Still, because all voices
settle on tonic harmony in m. 5, those opening measures sound more complete than mm. 6-11. If
one is resigned to ones fate, there is no reason to look beyond that fate, a sentiment echoed by
1
49
the tonic closure of m. 5. As soon as that resignation changes to frustration, though, the future is
less certain, as evidenced by a complete lack of closure (m. 11).
In contrast, the B section (mm. 12-27) (ex. 3.2) represents Cinderellas hopes and dreams.
Her dreams are more orderly than her reality, at least in terms of form. This section is made up of
four four-measure phrases, forming two related but not identical periods. Surprisingly, the basic
idea is less recognizable in its several forms than the contrasting idea, which is exactly the same
for three out of four statements. This suggests that the real measure2 might be larger than the
notated measure, resulting in a four-measure basic idea. If this were the case, section B would
form one large, 16-measure period. However, according to Caplin, in a 16-measure period the
first theme (built as either a simple sentence or a hybrid) acquires an antecedent function by
closing with a weak cadenceThe second theme (also a sentence or hybrid) becomes a
consequent by repeating the first theme but concluding with the stronger perfect authentic
cadence.3 The B section of Prokofievs Cinderella follows none of these conventions,
especially concerning cadences.
Example 3.2: Antecedent phrase of Cinderellas second theme (mm. 11-15)
2
3

Ibid, 65.
50
The B section includes four authentic cadences, three of which are altered in some way
(see table 3.1). At first glance there seems to be no distinction between strong and weak
cadences, as there are altered-IACs in the middle of the periods and IACs (altered and unaltered)
at the ends. A closer look at the music reveals that in some ways the end IACs are the stronger
cadences.
Table 3.1: Form chart of Cinderellas second theme
Phrase
Motivic Idea
Measures
Tonal
Center
Cadences
Period 1
Antecedent
Consequent
b.i.
c.i.
b.i.'
c.i.
11-13
13-15
15-17
17-19
Period 2
Antecedent
Consequent
b.i."
c.i.
b.i.'
c.i.
19-21
21-23
23-25
25-27
C
alteredIAC
alteredIAC
alteredIAC
IAC
Prokofiev uses three different modifications to create the altered cadences of this section,
one of which is used nowhere else in the piece, but can be found in another of the three pieces
from Cinderella examined in this paper. The altered-IAC in mm. 22-23 (shown in ex. 3.3) retains
dominant and tonic harmony accompanied by root-position bass motion. However, the
traditional dominant-seventh chord is transformed into a major-seventh chord by raising the
seventh (F) a semitone. As a result, the raised seventh resolves up, creating smooth parallel
voice-leading that appears elsewhere in Prokofievs compositions, though in different harmonic
contexts. The other two alterations involve augmenting the dominant (mm. 14-15) and inserting
an incomplete mediant before the tonic (mm. 18-19), both of which are common for Prokofiev.
51
Example 3.3: Altered-IAC, Cinderella (mm. 22-23)
Though the strongest cadence is the only unaltered IAC in the B section, the altered-IACs
can be classified on a scale of strength, as well, verifying the stated phrase structure. Changes to
the quality of the dominant in an IAC (through augmentation of the fifth or seventh) weaken the
aural perception of the dominant-to-tonic resolution even when strong stepwise voice-leading is
maintained. The altered-IAC using an inserted mediant harmony does not change the quality of
either cadential chord, but merely delays the sounding of the final tonics root. Were the mediant
harmony removed from the cadence, it would be almost identical to the strong, unaltered final
IAC (mm. 26-27).
The use of authentic cadences seems like an attempt on Cinderellas part to erase the
memory of her frustrating reality by firmly reinforcing her happier dreams. That all of the
cadences are imperfect underlines that her dreams are as yet unfulfilled.
Following the dream theme of section B is the third and final of Cinderellas themes (ex.
3.4), representing what Prokofiev called her passion for the Prince.4 At this point in the ballet,
52
it may more correctly be named simply her passion. The form most characterizes Cinderellas
passion in its lack of strong authentic cadences, which creates an overflow of incomplete new
ideas, as if she were always excitedly interrupting herself when speaking of her passion. Due to
this lack of authentic cadences, the form of the C section is unusual. Changes in tempo,
character, instrumentation, and tonal center help distinguish three larger parts of the section.
Example 3.4: Beginning of Cinderellas third theme (mm. 28-29)
The first section (mm. 28-35) is eight measures long and includes two half cadences. It is
characterized by staccato articulation, a moderate tempo, and a thicker texture. Because the fourmeasure phrases both end with half cadences, it must be considered two parallel phrase groups
rather than a period. The second section (mm. 36-41) is six measures long and includes both a
half cadence and an altered-IAC, the first authentic cadence of the C section. Sentential structure
is truncated by foregoing continuation and skipping straight to the cadential function.
Undermining the sentential aspect is the presence of a half cadence at the end of the presentation;
however, it is very weak, even for a half cadence. This section is clearly distinguished from the
preceding ideas by a faster tempo, the use of woodwinds, and a thinner texture. The third section
(mm. 42-49) is eight measures long and concludes with an altered-IAC. Unlike the other
53
divisions, this separation is defined primarily by the presence of an authentic cadence. Also
unlike preceding divisions, the cadence is weakened by the use of similar material staccato
articulation and the same rhythmic pattern immediately following. The third section initially
appears to be a complete sentence, but a closer look at the supposed presentation reveals that the
basic idea is not repeated anywhere near exactly, even taking transposition into account. Instead,
the phrase behaves more like a continuation. In conjunction with the maintained articulation and
rhythmic pattern from the cadential figure at the end of the second section, interpretation of the
third section as a continuation suggests that the cadential figure actually functions as an
abbreviated presentation for the third section (ex. 3.5). Cinderellas passion is played out in mm.
40-41 through the passages abbreviated nature and ambiguous formal function, both of which
reinforce the notion of excitedly interrupting her own ideas.
Example 3.5: Two formal interpretations of mm. 40-41, Cinderella;

Abbreviated continuation/cadential function (red) or abbreviated presentation phrase (blue).
The return of C material provides insight into the form (mm. 59-70). When the C section
returns, it does not come back in full; only the second half returns, and that is corrected. There
54
is no cadence at the end of the presentation. In fact, the presentation runs right into the
continuation, which is considerably expanded. One of the rhythmic ideas used initially in the
cadential idea (static sixteenth-notes bracketed by eighth-notes) reappears, but as part of the
continuation, not cadential function. This leads to the most romantically passionate moment of
the piece, characterized by sweeping parallel arpeggios in the flute/piccolo and violins.
Parts of the B section return, as well, in each case only one of the two periods. The only
section that never returns in Cinderella is the A section, as though Cinderella does not want to
dwell on her present circumstances. Because A never returns, the overall form is not a traditional
form of any sort, as it looks like this: A B C B C B. Were there no A section, this would be a
modified rondo form, and in fact may be perceived as such, due to the periodic return of B. As it
is, modified rondo may be the best explanation.
The rationale for not restating the A section has already been explored, but this does not
explain the frequent recurrence of B. At this point in the ballet the only characters who have been
introduced are Cinderella and her family. Because Cinderella would rather not think about her
reality, she turns instead to her dreams and passions. She knows nothing of the Prince, and so her
dreams remain unfocused, and yet her dreams are the most consistent and rewarding of the
themes, the reason they return most often.
Cinderellas dreams are established as preferable over reality and vague passion not only
in the frequent recurrence of the B section, but in the stable tonal center and regular statements of
authentic cadences. Cinderellas three themes touch on many key areas, but most of them either
are not established with an authentic cadence or are quite brief. The only tonal center that is both
firmly established and sounded for a significant amount of time C major, the tonal center of the
recurring B section. After that, the only other long-sounded key is E major, encompassing the
55
entire second C section. However, E major is established primarily through repetition, not
cadential figures.
Other key areas include g minor, Ab major, Db major, F major, and c minor. Of these,
only two are established with an authentic cadence at the end of a theme type, and in both cases
the cadence is an altered-IAC. F major and c# minor are the only authentic cadences outside of
the B section, and can be found ending the second and third parts of the C section, respectively
(mm. 41, 49). The two flat keys (Ab and Db) are implied through half cadences in the first part
of the C section but are never fully realized. As has already been discussed, the opening key of g
minor is recognizable not because the A theme cadences in g, but because of a tonic pedal and
small sense of closure in the antecedent phrase. The continuation that follows lacks cadential
function, effectively weakening that tonal influence.
The minor keys are used to represent a negative remembrance of Cinderellas foul
treatment. The first case is, of course, the theme representing Cinderellas suffering at the hands
of her wicked stepsisters.5 It should come as no surprise that a theme signifying suffering is in a
minor key. However, the c minor end of an otherwise major-key C section seems out of place.
Consideration of the music before and after the c minor material suggests that it acts as a
transition between the C and B themes. The actual cadence (m. 49) is accompanied by a
ritardando, implying a calming-down or return to reality after Cinderellas passionate segment.
At the parallel moment near the end (mm. 69-73) there is no turn to minor. Instead, Cinderellas
passion has reached such heights (B7, no less!) that any intrusion of unhappy thoughts is
impossible. There is another calm-down transition, but it avoids turning to minor through a
sequential modulation (see ex. 3.6).
56
Example 3.6: Sequential, major-mode transition between C and B sections
(E major and C major), Cinderella (mm. 68-76)
The similarity of parts of the A and B themes is noteworthy. Intellectually, one would
imagine them to be contrasting in almost every way after all, Cinderella would not dream of a
future in which she is mistreated. But melodic aspects of the unhappy A theme show up in the
hopeful B theme. The relationship is chiefly rhythmic, and in that sense is related also to parts of
the C theme, as well. Example 3.7 shows samples of the same rhythmic motives in all three
sections. Along the same vein, a melodic motive outlining a triad also appears in both the A and
the B themes (see ex. 3.8). Although they outline different quality triads and the A theme motive
lacks harmonic support, this motive is recognizable in both themes. Prominence in register and
metric placement help bring out the melodic relationship. In the first theme, the minor quality,
doubled octaves, and archi violins generate an impression of emotional pain. Successive
fragmentation and repetition of pitches add to this impression, sounding an image of Cinderella
turning in circles, searching for a way out of her cage. In the second theme, interpretation of this
melodic motive takes a lighter turn. Alteration to a major harmony, reduction of texture, and
57
change of instrumentation (flute) all affect the second presentation of the motive. An increase in
tempo also changes the motives effect. No longer is it an outpouring of emotional pain, but a
light-hearted appreciation of life, or in Cinderellas case, her dreams. The fact that the motive
appears in both themes but with different hermeneutics implies that Cinderella herself does not
change, though her circumstances might. She remains the same essential person, represented by a
rising triadic arpeggiation, whose oppressive or uplifting circumstances affect the quality,
instrumentation, and texture of her character. At heart she is a simple character, as the
uncomplicated triadic presentation shows.
Example 3.7: Rhythmic motives across themes, Cinderella
3.7a. Rhythmic motives a and b in A theme (mm. 3-4)
3.7b. Rhythmic motives a and b in B theme (mm. 17-18)
3.7c. Rhythmic motive b in C theme (mm. 41-42)
58
Example 3.8: Melodic arpeggiation motive across themes, Cinderella
3.8a. Melodic arpeggiation motive
in A theme (m. 3)
3.8b. Melodic arpeggiation motive

in B theme (m. 12)
Cinderellas theme evinces several melodic tendencies, some in line with traditional tonal
tendencies, and some not. Following Stephensons methods, pitch class numbers will be used for
clarity, with 0 = tonic instead of C. In general, notes of the tonic triad have a strong tendency to
follow one another and particularly to move to pc 7; Pc 7 follows itself more frequently than any
other note. As the strongest traditional tendency tone, pc 11 (the leading tone) should resolve to
pc 0 more often than not. In the case of Cinderella, pc 11 shows a slightly greater tendency to
move down to pc 10, though its next-most-frequent goal is pc 0. As it is, pc 11 is more likely to
move by semitone than any other interval.
Semitone motion is preferred by pc 6, as well. Like the leading tone, pc 6 moves down a
semitone more often than it follows traditional upward resolution. A glance at the music reveals
why this is the case. In minor sections, such as Cinderellas first theme and the c# minor
intrusion into her passionate theme (mm. 45-49), pc 6s tendency is to resolve up to pc 7. It is
usually notated as a raised fourth (ex. 3.9a). In the major key sections, comprising most of the
piece, pc 6 is notated as a lowered fifth, whose downward resolution matches the notational
implication and the direction of the line (ex. 3.9b).
59
Example 3.9: Semitone motion from pc 6 in minor and major keys, Cinderella
3.9a. Traditional upward resolution of pc 6 to pc 7; raised fourth in a minor key (mm. 3-4)
3.9b. Downward resolution of pc 6 to pc 5; lowered fifth in a major key (mm. 13-14)
Another notable tendency applies to all melodic motion: pitch classes are almost never
left through tritone motion. Cinderellas first, minor theme representing her unhappiness
provides the sole exception. Triadic arpeggiation and leaps of a perfect fourth are the most
common disjunct motions (see ex. 3.10).
Example 3.10: Melodic interval content of Cinderellas first theme (mm. 1-5);
Triadic/P4 disjunct motion in bold, tritone motion in red
60
By far the most prevalent melodic note is pc 7, or scale degree 5. In Schenkerian terms,
this suggests a structural descent from scale degree 5, a descent that is ultimately not present.
However, higher-level motivic iterations of the implied 5-line appear throughout, especially in
the B theme. Because the 5-line motive does not extend into the deeper-level voice-leading, it
represents what Rifkin calls a functional pitch-class motive, which has a tonal feel to it,
despite the fact that it is not a diminution of a deep middleground tonal paradigm.6 It may also
be considered a non-functional pitch-class motive7, as the pitches of the contrasting idea are
almost always identical and the melody may be understood separately from harmonic
progression. However, the strong sense of scale-degree function and the presence of some
harmonic function indicate that function plays a role in the motive. This motive appears in both
the antecedent and consequent phrases of the B theme, primarily as a result of the unchanging
contrasting idea (see ex. 3.11). Despite chromatic embellishments and alterations, the melodic
descent feels tonal because it has a clear melodic goal, supported at times by the harmonic
progression. The greatest harmonic support is the dominant-tonic cadence at the end. There is no
strong harmonic support for scale degrees 4 and 3, though they are recognizable as having scale
degree function. In fact, scale degree 3 behaves more as a passing tone than a structurally
important note, especially considering the lack of harmonic support and its reversion to minor.
6
7

Ibid, 271.
61
Example 3.11: Functional pitch-class motive in Cinderellas B theme (mm. 12-15)
3.11a. Score excerpt
3.11b. 5-line motive
The use of a chromatically altered pitch is by no means unusual for Prokofiev, and in fact
does not necessarily negatively affect ones perception of its true function. According to Bass,
A chromatically displaced, or so-called wrong, note is also a kind of substitutionIt does not
function as an altered note, but represents a diatonic one; the diatonic note it represents is present
as a shadow cast by the displacement itselfA displaced note is treated exactly as its diatonic
counterpart would be.8 This is true of the flat-third scale degree in the functional pitch-class
62
motive above. Its diatonic shadow, E-natural, is just as present as the actually sounded Eb. Thus,
though Eb is not supported harmonically, it retains its scale degree function and its place in the
higher-level motivic presentation.
On a larger scale, the only seemingly significant harmonic displacement occurs between
the first C theme and the second B theme (mm. 45-51). This is the harmonic shift from c# minor
to C major, the intrusion of reality into Cinderellas passion and her subsequent turn to more
pleasant dreams. The actual shift from minor to major is accomplished through the use of a
monophonic melodic line that allows D and F to function as diatonic scale degrees in c minor
and chromatic neighbor tones in C major, in what Bass calls cross-representation9 (see ex.
3.12). This is a very small example of the concept of tonal displacement and crossrepresentation, as c minor was not preceded by C major (it does not displace C, but is
displaced) and the thematic ideas are completely different. However, the cross-representation
remains, as does the irrefutable semitone shift.
Example 3.12: Cross-representation of D and F, Cinderella (mm. 49-50)
Ibid, 203.
63
Cinderellas three themes represent different aspects of her character through formal
organization, the establishment or disestablishment of tonal centers and their qualities, cadential
choices and alterations, melodic tendencies, motivic connections, displacements, and
instrumentation, articulation, and tempo. She is a simple character with multiple facets; a woman
who is hurt by familial abuse, dreams of something better for the future, and has great depths of
passion within her.
The Prince
Cinderellas Prince is not given a name in Charles Perraults fairytale or in Prokofievs
ballet, but Prokofiev does provide him more depth of character through his musical portrayal.
The Princes theme (beginning m. 124 in Mazurka and Entrance of the Prince), though only 41
measures long, depicts him as a vigorous, athletic royal with unrevealed depths.
The form of the Princes theme has both normal and abnormal qualities. The phrases are
mostly four measures long, but they are offset by one beat. The easily recognizable returning
basic idea (shown in ex. 3.13) announces formal divisions and provides an example of the onebeat offset. As a result of the offset, a diagram of the form appears to have many elisions. In fact,
though, the offset is in play for every part of the theme except the introduction and codetta. The
Princes theme is made up of three sentences, of 8, 12, and 12 measures, accounting for the
offset (see table 3.2). The thematic ideas most likely were offset so that cadences would fall on
the strong beat, resulting in characterization of the Prince as both different from the norm (offset)
and stronger because of it (strong-beat cadence).
64
Example 3.13: The Princes basic idea, offset by one beat (mm. 134-137)
Table 3.2: Form chart of The Prince

Sentence 1
Phrase
Thematic
Idea
Measures
Intro
124-125
Presentation
Continuation
Presentation
Continuation
b.i.
b.i.
c.i.
b.i.
b.i.
c.i.
126-128
128-130
130-134
134-136
136-138
138-146
altered-PAC
IAC
Tonal Center
altered-IAC
Cadences
Phrase
Thematic Idea
Measures
Tonal Center
Cadences
Sentence 2
b.i.
146-148
altered-PAC?
Expanded Sentence 3
Presentation
b.i.
b.i.
148-150
150-152
C
altered-IAC
Continuation
c.i.
152-158
Codetta
159-164
altered-PAC
PAC
One abnormality is the presence of a few too many cadences to match the true definition
of a sentence, in which no cadence is achieved at the end of the presentation phrase. In this way
the first phrase of each sentence behaves more like an antecedent than a presentation. Another
way in which these sentences behave more like periods is the varied continuation phrases. They
are all different and each begins with new material that has little to do with the basic idea, except
on one occasion. Fragmentation is somewhat apparent, but mostly at the ends of the phrases.
However, for these parts to be considered the contrasting ideas of periods, the real measure must
65
be altered so that the basic idea becomes four measures long. Another problem with trying to fit
the music into a periodic mold is that there are three presentations of the basic idea followed by
new material. One period might be formed, but another full period cannot. Instead, one is left
with one and a half periods, a form even more unlikely than three sentences.
The overall form has no name, but does resemble rondo form, if one considers the basic
idea to be the refrain (A) and the continuations to be the couplets (B, C, and D). Such an
interpretation is a direct contradiction of the sentential structure, however. As a result, the largescale form is ambiguous. Its internal tripartite quality is a vague reflection of Cinderellas three
themes. Aside from being made up of three sentences, the contrasting ideas provide three
possible characteristic themes in addition to the Princes basic idea. The seemingly extraneous
introduction and codetta do not play a part in the true formal structure, but are important in
several other ways.
The two-measure introduction (ex. 3.14), though it uses harmonies not found in the basic
idea, provides a basis for the basic idea. It introduces the rhythmic pattern (quarter-eighth-eighthquarter) that sounds throughout the entire basic idea and through parts of the contrasting ideas.
This is the basic mazurka rhythmic pattern, which typically accents the weak beats. Because of
the one-beat offset, the accents remain true to traditional triple meter, indicating the Princes
simultaneous conformity and individuality. The mazurka that precedes the entrance of the Prince
and the relationship of his theme with the mazurka also define the Prince as fierce. Mazurkas are
often fiery and warlike in character,10 and the former attribute agrees with Prokofievs
intention in characterizing the Prince.
10
Don Michael Randel, ed. The Harvard Concise Dictionary of Music and Musicians (Cambridge, Massachusetts:
Harvard University Press, 1999), 407.
66
Example 3.14: The Princes Introduction (mm. 124-125)
The introduction also starts the piece with rising energy, an energy that the rest of the
piece must uphold to truly illustrate the Prince as fiery. Octave doubling and the melodic
arpeggiation of triads indicate an active character that moves in leaps and bounds. Where in
Cinderellas themes this melodic outlining of triads represents her uncomplicated, unchanging
core, in the Princes theme it represents his assertive, ambitious personality. As if the outcome of
this ballet were at all uncertain, the use of an established Cinderella motive in the Princes
introduction, characterizing him as one who pursues his hearts desires, foreshadows his
ultimately successful pursuit of Cinderella.
With its rapidly descending unison triplets, the codetta (ex. 3.15) provides the best
example of the Princes wind and flame.11 It sounds like a forceful twist of wind, and its
culmination in the Prince landing legs astride, on the throne12 only reinforces the impression
that the Prince blew in, full of energy, to command the room. This final reiteration of the
Princes energy, status, and confidence is the hermeneutic purpose of the codetta, but it serves a
more practical purpose, as well.
11
12

Sergei Prokofiev, Cinderella, Op. 87 (Hamburg: Musikverlag Hans Sikorski, 1957), 76.
67
Example 3.15: Codetta, The Prince (mm. 159-164)
The cadence preceding the codetta (m. 158) is somewhat unusual. The most sensible
analysis, and the one most consistent with standard resolutions, is an analysis that considers
the downbeat of m. 158 to mark a suspension, making the cadence a Neapolitan-tonic figure. The
third of the Neapolitan (F) is still aurally present from its three-octave sounding on the second
beat of m. 157, and resolves in all three octaves on the downbeat of m. 158 (see ex. 3.16). While
the stepwise resolutions and suspension create smooth voice-leading, it does not match the
strength of previous cadences. For the supposed final cadence of a piece depicting an energetic,
passionate Prince, this is not nearly strong enough. The codetta corrects this weak cadence first
by restating the tonic chord in various permutations (as a major-seventh and added flat-second,
to name two) and finally by the windy unison descent of four octaves that lands on tonic. By
reiterating tonic in so many ways, most particularly through the four-octave descent, the codetta
completes the cadential and musical portrait of the Prince.
68
Example 3.16: Altered-PAC, The Prince (mm. 157-158)
Between the introduction and codetta, formal repetition and emphasis on the basic idea
characterize the Prince as a man who is sure of his place in society, though he may not always be
comfortable there. The number and types of cadences support this interpretation. All of the
cadences in the Princes piece are authentic, with about an even number of imperfect and perfect
cadences. By far the most common cadence is the altered cadence involving a VM7-I. Both the
altered-IACs and -PACs use this type of dominant, though not in every case.
Harmonically, this piece makes almost exclusive use of major chords, most particularly
in the basic idea. Whats more, due to the repetitive nature of the basic idea, the same major
chords are used throughout: C-D7-DbM7, with the cadential addition of g7-GM7-C. The one
common note in the chords of the basic idea is C, tonic. Its universal presence characterizes the
Prince as either a stable person, sure of himself and his place, or one locked in place by societal
strictures. The latter interpretation, while tempting for its drama, does not fit with the depiction
of the Prince provided by the rest of his music, including the introduction and codetta. However,
it remains a possibility, as the basic idea and the continuations are quite different in character.
Because all of the chords of the basic idea are major and include tonic, the progression is highly
abnormal. Except for the cadences, the same may be said of the entirety of the Princes theme
69
traditional harmonic progression is abandoned. This is yet another way in which the Prince is
different from his subjects, whose preceding mazurka makes use of familiar (modern)
progressions.
In accord with the repetitive harmonic progression of the basic idea, the melodic idea is
also highly repetitive. It is focused on G, or scale degree 5, with semitone diversions to either
side. Such a restricted basic idea supports the interpretation of the basic idea representing the
Prince as a man forced into a societal role. At the same time it sounds majestic, like a fanfare
simply announcing his presence. However, the announcement was accomplished with the
introduction, suggesting that the static nature of the basic idea is more representative of his
relationship to the court in which he lives. His discomfort with the restrictions of the court is all
the more obvious when compared to the continuations that reveal his individuality.
The use of various continuations emphasizes the Princes singularity in a palace full of
courtly clones. Not only does the Prince receive the first unison texture of significant length in
the piece, he receives two lengthy unison phrases, neither of which has been sounded previously
(examples 3.17 and 3.18).
Example 3.17: First continuation, The Prince (mm. 130-134)
70
Example 3.18: Beginning of second continuation, The Prince (mm. 138-142)
The third continuation (ex. 3.19), while not another unison phrase, is also unique in its
suddenly thick texture and complete disregard for harmonic progression, even the unusual
progression of the basic idea. Though there are three separate ideas, they do not actually follow
the example of Cinderella by defining three different aspects of the Princes character. Instead,
they expand upon his already established character points. The first and shortest continuation
does little more than reinforce his individuality with a unison texture and unpredictable melodic
course. The second augments the depiction of the Prince as a unique individual with a new
longer idea, somewhat related to both the basic idea (pitch repetition) and the previous
continuation (eighth-note rhythms). Finally, the third continuation develops his individuality
even further by returning to a thick texture with no underlying progression or recognizable
melodic relationship.
Example 3.19: Beginning of third continuation, The Prince (mm. 152-155)
71
Melodic tendencies in the Princes theme are quite different from those of Cinderella.
For example, the leading tone (pc 11) never moves down a semitone to pc 10, but is equally
willing to travel to the traditional pc 0 and the less common pc 9. Likewise, pc 6 most often
moves to pc 8, a tendency at odds with tradition and Cinderellas theme. Stepwise motion is still
preferred, though the semitone inclination is lessened outside of the basic idea. In fact, stepwise
motion is far more prevalent in general.
In Cinderella, any note of the tonic triad could be found to move most often to another
note of the tonic triad. In The Prince, tonic triad pitches are more likely to move by step (semiand whole-tone) or to repeat themselves than to go to another tonic triad pitch. Pitch classes 0
and 7 in particular like to be repeated, while pc 4 favors a step down to pc 2.
This is not to say that disjunct motion is absent. The tritone, which in Cinderella made
only one appearance in 82 measures, is here sounded twice in half as many measures. Both
occurrences are in the third continuation (mm. 154-155, 157). The increased use of melodic
tritones in one of the Princes defining phrases corresponds with his passionate nonconformity.
Yet the Princes theme has at least one thing besides the arpeggiated triad in common
with Cinderellas: 7 is the most common pitch class. As has been stated, the static nature of the
basic idea characterizes the Prince as a man stuck in a societal position that does not always suit.
The melodic emphasis of pc 7, or the dominant, plays into that characterization. It is the least
important pitch of the tonic triad; unlike the third, it does not determine quality; unlike the root,
it is not conclusive. Such emphasis on scale degree 5 alludes to dominant harmony and strong
base function within that harmonic context as opposed to the weaker associate function in
tonic.13 As the base of a dominant, the melodic pc 7 becomes more searching it is looking for
13
In Rifkin, A Theory of Motives, 274.
72
its place of (tonic) rest. This is only achieved melodically at the end of the first and third
continuation and the codetta, none of which include dominant-tonic bass motion.
Despite the melodic emphasis on scale degree 5, there is no structural descent from that
pitch. In every instance where a structural descent seems to be formed, some note is missing. At
the end of the third continuation there is either no third (m. 157) or no second (m. 158),
depending on where the cadence actually begins. Even in the codettas triplet descent, the final
diatonic melodic descent is missing scale degree 4, not to mention harmonic support. As a result,
any deep-level voice-leading structures are flawed and relevant motivic diminutions are dubious
at best. There is also a distinct lack of both functional and non-functional pitch-class motives, as
scale degree function, except for scale degree 5, is obscured by chromaticism and only the
restated basic idea has a pattern of pitch-classes.
Displacement of individual pitches is difficult to establish, though it seems that some of
the chromaticism of the Princes theme should be such. The difficulty arises due to a lack of
indicative harmonic support. The extreme abnormality of the few harmonic progressions makes
determining diatonic shadows a crapshoot. As the Princes theme is entirely in C major, no largescale tonal displacement occurs.
In short, the Princes theme declares him an incredibly unique, active, strong, and
passionate character who is not completely comfortable following the rules of the court. His
oppression is revealed in the repetitive, restricted harmonic and melodic aspects of the basic idea.
His individuality is characterized by a lack of traditional harmonic progression, distinct
continuation phrases, and disregard of formal and structural concerns.
73
Duet The Prince and Cinderella
Duet is the first dance that Cinderella and the Prince dance together without an
audience and the first that is unrelated to previous group numbers; it is, in essence, the Love
Dance of Cinderella. The main characters love is portrayed contrastingly as gentle and strong,
grand and simple. Aspects of both the Prince and Cinderella are included through formal,
melodic, and textural means.
The form is reminiscent of the Princes theme in its use of an introduction and codetta.
Excluding those sections, it is more generally related to the Prince and Cinderellas themes by
virtue of its three-part structure. However, the tripartite structure of Duet is completely
different from that of the main characters themes. Where Cinderella evinces three distinct
themes and The Prince has three distinguishable sentences, Duet has three larger formal
sections: A B A. As an example of rounded binary, it is the most formally normative of the three
pieces.
The introduction, like that of the Princes theme, is only two measures long (ex. 3.20).
Unlike the Princes introduction, this one sets up the principal tonal center, C major, and the
waltz-like accompanimental pattern. It serves little purpose besides establishing accompaniment
and key, as it lacks any melody or progression.
Example 3.20: Introduction, Duet (mm. 1-2)
74
The codetta (ex. 3.21) is comprised almost entirely of linear intervallic patterns and
counterpoint, with the occasional full harmony thrown in. As per Caplins definition of
codetta, it is preceded by a PAC, on the same structural level as the parts of a phrase, focused
on tonic, and short. In fact, there are several codettas within the final four measures, implying
that this section may be a coda. According to Caplin this is not the case, as a coda is a relatively
large unit: it contains one or more complete coda themes, each ending with a perfect authentic
cadence.14 Not only is this section definitely small, literally and hierarchically, but two of the
three cadences complete linear intervallic patterns, resulting in imperfect cadences. Though
Prokofiev often treats IACs as strong cadences almost equal to PACs, they are usually full
cadences at the end of a progression. The use of linear intervallic patterns instead of harmonic
progression effectively impedes perceiving the IACs within the codetta as strong enough to stand
for PACs.
Example 3.21: Beginning of codetta, Duet (mm. 51-53)
As for the codettas hermeneutic purpose, elements from the codetta have been heard
before, particularly in the interlude interrupting the first two periods (mm. 10-13). Due to its
placement within a larger formal structure (the A section), it takes on some of the same
14
75
characteristics as its encompassing section. The A section represents one side of the Princes and
Cinderellas love for each other: a tender, uncomplicated side, discussed in more detail below
(see ex. 3.22).
Example 3.22: Beginning of A section, Duet (mm. 3-6)
The interlude, and by default the codetta, reflect this side of their romance through a primarily
two-voice texture, use of linear intervallic patterns, disuse of harmonic progression, and tonic
emphasis.
Another smaller formal relationship is evident in the overwhelming use of periods in the
duet, relating most strongly to the B section (second theme) of Cinderella.15 Recall that
Cinderellas second theme represents her dreams for the future and is characterized by even
phrase lengths and frequent authentic cadences. Her dreams are reflected in her dance with the
Prince through the use of periods and cadences, though not every period is made up of equallength phrases.
The A sections of the duet contain one or more periods comprised of four-measure
phrases (see table 3.3). The periods of the B section, on the other hand, possess expanded
consequent phrases, a musical decision that results in a slightly different perception of the
couples love for one another than is offered in the A sections. Regular phrase lengths and
15
The forms of both Cinderellas second theme and the duet may be found in the Appendix.
76
cadences lend the A section a gentle, simple character, supported by a thin texture and slow
harmonic rhythm. In contrast, the expanded consequent phrases found in the B section (see ex.
3.23) create a grander depiction of the characters love. This is upheld by a thick texture, faster
harmonic rhythm, and by less final antecedent cadences.
Table 3.3: Form chart of Duet (A B A)
Introduction
Period 1
Antecedent
Phrase
Thematic
Idea
Measures
1-2
Period 2
Consequent
Antecedent
b.i.
c.i.
b.i.
c.i.
Interlude
b.i.
c.i.
b.i.
c.i.
3-4
5-6
7-8
9-10
10-13
14-15
16-17
18-19
20-21
Tonal
Center
F-C
alteredIAC
Cadences
alteredIAC
Antecedent
altered-IAC
HC?
Period 3
Phrase
Consequent
PAC
Period 4
Consequent
Antecedent
Consequent
Thematic
Idea
b.i.
c.i.
b.i.
c.i.
b.i.
c.i.
b.i.
c.i.
Measures
22-23
24-25
26-27
28-31
32-33
34-35
36-37
38-43
Tonal
Center
Cadences
C
(alteredIAC)
alteredIAC
(alteredIAC)
Period 5
Phrase
Antecedent
alteredIAC
Codetta
Consequent
Thematic
Idea
b.i.
c.i.
b.i.
c.i.
Measures
44-45
46-47
48-49
50-51
51-55
PAC
PAC
Tonal
Center
Cadences
F-C
C
HC?
77
Example 3.23: Beginning of B section, Duet (mm. 22-25)
The cadences of the B section, while very similar to those of the preceding section,
behave differently in context. In the first period of the A section, which cadences are most like
those of the B section, the altered-IAC concluding the antecedent phrase is solidly established
through strong metric placement and duration. The tonic chord falls on the downbeat of m. 6 and
is sustained for the full measure. The same cadences in the B section, however, fall on an offbeat
halfway through the measure (mm. 25, 35) and last only the remainder of the measure, for the
duration of a quarter-note. Even that is undermined by the bass, which alters the quality of the
tonic immediately after sounding the cadence by lowering the third. By placing the cadence in
such a weak metric position for so brief an amount of time, made shorter by quality-altering bass
motion, ones perception of the phrase structure, and thus its meaning, is altered. Instead of a
period whose constituent parts are separately and easily recognized, it sounds like one long
(albeit repetitive) idea, expanding the scope of the characters love. What began as a simple,
tender, perhaps short-sighted idea has become a more far-reaching, mature, eloquent theme.
The A section must return, though, if only because the grandeur of the B section
somehow makes it unable to produce a conclusive, root-position authentic cadence. As if the
love of the Prince and Cinderella has reached such great heights that it cannot be sustained, the
78
simpler, everyday love returns to ground and complete them. Their everyday love does not
completely abandon the mature, passionate love of the B section, though; or rather, their
passionate love is closely related to the gentler version. Melodically as well as formally, the
themes of the B section resemble those of the A section.
The most obvious melodic relationship of the A and B sections is actually between
different ideas. Example 3.24 compares the basic idea of the second period with the contrasting
idea of the third period. As the example shows, the relationship is not exact. The interval of
transposition is at first a fifth, but three notes in becomes a fourth, at which interval it holds.
Also, due to a change in meter from compound triple (98) to compound duple (68), the metric
placement of component parts of the melody is slightly different. The addition of a non-chord
tone at the end of the contrasting idea further displaces the metric location of the final note.
Despite all of these alterations, the melodic relationship remains and is easily recognizable.
Example 3.24: Melodic segment of Period 2 (3.24a) also found in Period 3 (3.24b),
transposed up and adjusted metrically, Duet
3.24a. Basic idea (mm. 7-8)
3.24b. Contrasting idea (mm. 24-25); added appoggiatura circled
79
Duet shares melodic tendencies with both Cinderella and The Prince. The one
common factor shared by all three is the extreme presence of pc 7. Pc 7 is slightly less present in
the duet compared to Cinderellas theme, as it accounts for about 21 percent of the notes versus
Cinderellas nearly 30 percent. This is still a greater presence than in the Princes theme, which
is around 17 percent pc 7. However, the more concentrated presentations of pc 7 in The Prince
play a larger hermeneutic role than does the greater percentage of pc 7 in Duet.
Melodic similarities between Cinderella and the duet besides the prevalence of pc 7 are
few. Though any pitch of the tonic triad may be followed by another pitch of the tonic triad, they
may also be followed by practically any other pitch. The only tonic triad pitch that seems to
prefer motion to another note from the triad is pc 4, which goes to pc 7 more often than to any
other pitch class. Both pieces share a dearth of pc 1s, but show no real similarity in the
infrequent use of that pitch class.
The Prince and Duet share a few more melodic tendencies, including the tendency
for pc 3 to move to pc 6, for pc 8 to go to pc 7, and for the piece to include more than one tritone.
There are two tritones in the duet, and they, like the tritones in the Princes theme, are in close
proximity (mm. 39-40, 40-41). In both cases the tritone leaps appear in climactic sections.
Unlike both Cinderella and The Prince, the duets melodic preference for pc 7, or
scale degree 5, presents a legitimate candidate for a structural descent. The fact that most of the
piece and all of the cadences are in C major makes the presence of a structural descent more
likely. However, if the Urlinie is a 5-line, the initial scale degree 5 is approached by an unusual
mixture of stepwise motion and arpeggiation down to the head tone (ex. 3.25). As the example
shows, while everything is clearly anchored in tonic harmony, the prolonged B, which appears as
an incomplete neighbor to C, and the subsequent B-G skip anticipate the dominant. A deeper-
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level graph would show only the C-G arpeggiation. In the final descent (excluding the codetta),
scale degree 5 is supported first by an inverted dominant, then by a secondary dominant (C:
V7/ii, or VI7), and finally by a questionable dominant-seventh, after which there is only a brief
mention of a chromatic scale degree four, supported by a VII6 (ex. 3.26). The dominant-seventh
is not immediately apparent from the texture; a look ahead a ex. 3.29 reveals why it applies.
Example 3.25: Arpeggiated descent (?) to head tone, Duet (mm. 3-4)
Example 3.26: Final descent, including secondary support for scale degree 5 and
chromatically displaced scale degree 4, Duet (mm. 48-51)
3.26a. Score excerpt
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3.26b. Final descent
As a 3-line, the head tone is produced almost immediately via an arpeggiated ascent
(skip from scale degree 1 to 3). The problem with a 3-line appears in the final descent, in which
the harmonic support begins as a secondary dominant (C: V7/ii), the same secondary dominant
that supported scale degree 5 after it had received dominant support. More importantly, the 3-line
does not reappear throughout the piece.
There are smaller reproductions of the 5-line throughout the piece resulting from
restatements of the theme and frequent cadences. These are examples of Rifkins systemic
motive, which links the pitches of a motive to tonal functions, and asserts that a motive is
defined by the repetition of a function, and not by the repetition of pitch classes.16 In the linear
intervallic progressions of the interludes and codetta, however, the 3-line is most common. As
these do not play a decisive role in the rounded binary proper and only serve to prolong tonic,
their presence does not argue for a 3-line overall. Still, this miniature 3-line is a motive, though it
does not necessarily adhere to any of Rifkins systemic or pitch-class motives.
16
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As mentioned previously, the majority of the cadences in the duet are altered-IACs.
These take many different forms, from each other and from those seen in Cinderella and The
Prince. One type of cadence, found exclusively in Period 1, makes little sense in terms of
traditional cadential figures (ex. 3.27). Taking the notes that fall on the beat as the most
important, the penultimate cadential harmony (mm. 5, 9) is C7 over a sustained dominant scale
degree, an enharmonically respelled Neapolitan chord with an added seventh. However, with the
dominant pedal, preceding dominant harmony, and sustained scale degree 7 in the top voice,
dominant harmony is clearly underlying the predominant Neapolitan. Furthermore, the third of
the Neapolitan (E) may also function as an enharmonic dominant seventh. The fact that it
resolves traditionally supports its dominant function. Thus, the predominant does not substitute
for the dominant, but acts in simultaneity with the dominant.
Example 3.27: Altered-IAC, Duet (mm. 5-6)
Even disregarding the underlying dominant functions, every single pitch of the N7
resolves by semitone to a tonic triad note and the dominant pedal resolves, as expected, by fifth,
though it arrives one beat late. This type of semitone voice-leading in place of the traditional V-I
cadential figure has been used before by Prokofiev, in both Cinderellas theme and the Princes.
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Such exclusive use of motion by semitone has not been the case, but the pairing of semitone
voice-leading and dominant-tonic bass motion has. The one example of a N-I cadential figure in
the Princes theme (see ex. 3.16) is disrupted by the insertion of a set of non-chord tones,
breaking up the smooth voice-leading.
The almost-cadences of the B section antecedents have been explored already, but their
consequent cousins have not. Because the harmonic rhythm of the B section is faster than that of
the A sections, the chord that immediately precedes the cadential tonic should be a dominantfunctioning chord. Instead of a dominant chord, however, Prokofiev uses a Gr+6 with a nonchord tone (mm. 30-31, 42-43). Again, replacing a dominant with a predominant harmony results
in very smooth voice-leading in which two of the voices do not even move. That is, two of the
voices should not move; in actuality, the bass, which had been sustaining the tonic scale degree,
drops out. Looking back past the cadential measures, the bass motion revealed is dominant to
tonic; the harmony supported by a dominant bass is V+7, a variation of V that has been used
many times before (ex. 3.28). The tonic bass underlies several different harmonies, all of which
are a semitone distant from tonic, which also appears. However, the tonic harmonies are
metrically weak and in the midst of a rising melodic progression. An effect of extreme
displacement is produced, in which either the tonic bass arrives one measure too early or the
melodic resolution arrives one measure too late. Bass refers to this as a partial displacement.17
17
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Example 3.28: Partial displacement and altered-IAC, Duet (mm. 29-31)
These predominant cadential figures serve a purpose greater than the generation of
semitone voice-leading. They draw from cadential actions in the themes of the Prince and
Cinderella, connecting the lovers in an abstract way. To be even more abstract, these cadences
may be seen as a musical depiction of the unexpected ease (resolution by semitone) with which
two people (Cinderella and the Prince) from different social circles (working class/predominant
vs. royalty/tonic) fall in love.
Tonally, the duet never travels far from C major. There are two instances of F major
material (mm. 14-15, 44-45), but there are no corresponding cadences. In this respect Duet
takes after the Princes theme, which is also entirely in C major. Given that the Princes theme,
representing him as a strong, certain individual, is in C and that every statement of Cinderellas
second theme, representing her dreams for the future, is also in that key, the fact that their duet is
also in C major is important. Their love, as evidenced by the tonal stasis, is a unification of the
Princes self-confidence and Cinderellas dreams.
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Though key areas are not displaced, internal harmonies and melodic pitches of phrases
are chromatically displaced. Almost all of the chromatic pitches in the first period (and any
restatements thereof) can be understood as displaced diatonic pitches. The goal of the melody is
clearly tonic, supported by an established tonal center, unambiguous cadence, and primarily
stepwise descending contour. Thus, even though several pitches are chromaticized, they still
function as the diatonic shadow would. In particular, 4 functions as the diatonic scale degree 4
would by resolving down to scale degree 3 (ex. 3.29).
Example 3.29: Shadow structure (top) and surface structure (bottom) of basic idea in A section
of Duet reveals chromatic displacement of scale degree 4; mm. 3-6 (refer to ex. 3.22)
Melodic displacements and chromatic pitches lend the diatonic theme a slight thrill by
blurring the line between the two. Though the displacements behave as would their diatonic
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counterparts, the certainty that they are displacements arrives with the resolution. The same may
be said for the truly chromatic pitches, such as the sharp tonic in m. 5. Because the following
note determines a pitchs displaced or chromatic quality, the uncertainty of which it might be
provides a little melodic adventure. The main characters love is not dull or predictable, but
exciting and changeable.
Duet of the Prince and Cinderella gives voice to their love for one another. It is both
tenderly simple and powerfully grand, two portrayals made evident by formal divisions and
changes in tempo and texture. Cadence types and strengths affect characterization as simple or
grand, as does harmonic rhythm. The use of motives, including reproductions of the structural
descent, and chromatic and displaced notes creates connections between the two classes of love.
Cinderella and the Prince are further joined by the inclusion and melding of aspects of each of
their character-defining themes.
Summary
In this chapter, the themes of Cinderella and the Prince were shown to characterize them
individually through the use of particular formal, melodic, and harmonic structures. The
modified rondo form of Cinderella reflects her individuality through its modifications: the A
section is extra, and the five-part rondo that results includes two thematic ideas, not three. The
Princes theme does not fit into any formal mold, as it is made up of an introduction, three
sentences, and a codetta. He is established as a strong, unique character who follows some
formal principles but is not bound by tradition. The formal principles that he does follow are
small-scale, namely phrase structure.
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Phrases in The Prince vary in length, particularly the sentential continuations; the
presentation phrases are more regular. Distinct differences between presentations and
continuations, especially texture, reveal two sides of the Princes character. He is both a Prince,
with all the societal duties that entails (basic idea), and a vigorous young man who revels in his
individuality (continuations). Cinderellas phrases are less defined due to misplaced/missing
cadences, possible dual functions, and expansions. In contrast to the rest of the piece, the B
section, representing her dreams for the future, is always made up of even-phrased periods. The
use of a traditional theme type and regular phrases separates this section from the others,
characterizing her dreams as more stable than her reality and her passion. Cinderella and the
Prince have little in common in terms of phrase structure, except that the sentences in
Cinderella, modified and expanded though they may be, are in only the theme representing her
passion for the Prince. Thus there is a small-scale formal connection between the main
characters themes.
Tonal centers play a large role in determining characterization, as they inform both largeand small-scale form and affect mood. Cinderella travels through several keys, almost all of
which are major. Minor keys are used specifically to reference Cinderellas rotten home life
while C major always represents her dreams. Her passionate theme uses several different major
keys and does not always fully establish them before moving on. The Princes theme is entirely
in C major, as evidenced by the cadences. Interestingly, Cinderellas passion theme, which uses
similar phrase structures to the Princes, is not the one that is tonally associated with the Princes
theme. Her entirely-in-C dream theme refers ahead to the Princes entirely-in-C theme,
indicating that the Prince is the man to fulfill her dreams.
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Cadences support the characterizations provided by tonality and form, especially in
Cinderella. Not surprisingly, the strongest and most consistent cadences are in the B section.
Those of the A section are either misplaced and weak (mm. 4-5) or entirely absent (m. 11),
emphasizing Cinderellas unhappiness she can find no true place of rest. The C section
cadences are varied in type and strength, indicating the less restrained nature of her passionate
side. The Princes cadences are all authentic and often altered. They confirm him as both a
Prince and a man. All of the cadences concluding the basic idea are the same and further
illustrate his unchanging role as Prince; all of the cadences concluding the continuations are
different, reinforcing his uniqueness. The Princes surety is apparent in the use of only authentic
cadences.
Melodic tendencies in Cinderella generally match traditional tendencies, except for the
traditional tendency tones. While pc 11 and pc 6 do resolve up, following traditional tendency, in
Cinderellas theme they more often resolve down by semitone. Conjunct motion is preferred and
disjunct motion is usually triadic. The slight alterations of traditional tendency tones in a
primarily conventional context give Cinderella a small level of independence. Like the tendency
tones, she does not always do what is expected of her. Tendencies in The Prince are quite
different. The leading tone, which appears much less frequently, is equally willing to resolve up
to tonic as it is to resolve down, not to pc 10, but pc 9. As for pc 6, it occasionally resolves
traditionally, up to pc 7, but much more often moves to pc 8. The Princes theme shows a much
stronger preference for stepwise motion, but at the same time is less partial to traditional
tendencies. This reveals him to be freer than Cinderella.
The use of motives, or lack thereof, supports the idea that the Prince has more freedom
than Cinderella. The only connective motive between parts of the Princes theme is rhythmic,
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established in the introduction and used throughout the basic idea and seldom used in the
continuations. There is no structural descent and no suggestive small-scale descents.
Cinderella, on the other hand, has several motives that appear throughout her themes,
including rhythmic, melodic, and functional pitch-class motives. Like The Prince, Cinderella
ultimately does not have a structural descent, which is thwarted by the final cadence. However,
the possibility of an overarching structural descent is mimicked by the functional pitch-class
motive of her B theme. In addition to the connective melodic motive that appears in two themes
and the rhythmic motive that appears in all three themes, the hint of a large-scale descent pulls
everything together.
Duet draws from the main characters themes to depict their love, but also uses
structures unique to itself for the same purpose. Formally, it is similar to both themes primarily
in its tripartite structure, and to the Princes theme in its use of an introduction and codetta.
Rather than three sentences or a modified rondo form, the duet is in rounded binary form, the
most normative form of the three pieces. Cinderellas and the Princes individualized forms are
abandoned in favor of a more traditional, settled form, as if love provides the most secure home
for both. The phrase structure is almost entirely periodic, excepting a three-measure interlude in
the A section. Phrases in the A sections are regular, four-measure phrases; those of the B section
are subject to expansion, particularly in the consequent phrases. Like the rounded binary form,
the use of mostly regular periods implies a certainty and satisfaction in Cinderella and the
Princes love and references Cinderellas dreams, also periodic. Still, their love is unique in that
the contrasting ideas of the antecedent and consequent phrases are more alike than the basic
ideas.
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Cadences are also regular, though many are altered. Mostly authentic cadences are used,
in keeping with both Cinderella and The Prince. Some of the altered cadences, such as the
Neapolitan-tonic figure, are drawn from the Princes theme, while others, like the VII-I
cadences, are not found in either characters themes. Tonal centers are clearly related to both
Cinderella and The Prince, as the primary tonal center is C major and the only other key is F
major. C major was the tonal center of Cinderellas dream theme and the Princes theme; F
major was one of the established keys of Cinderellas passionate theme. Her dreams and passion
find fulfillment in loving and being loved by the Prince.
Melodic tendencies provide the greatest reference to the Prince besides the tonal
emphasis. Duet shares more melodic tendencies with The Prince than with Cinderella,
though they all share a proclivity for pc 7. Stepwise motion is preferred and traditional
tendencies are less observed. The combination of these ideas results in chromatic displacement
of pitches and partial harmonic displacement. Chromatic displacement is particularly apparent in
the phrases of the A section, in the thematic idea representing the tender side of the main
characters love. The partial displacement occurs at two cadence points in the B section, which
represents the grander aspect of their love.
Both aspects of Cinderellas and the Princes love, the tender and the grand, are
connected through the use of a melodic motive. Though transposition, change in meter, and
addition of a non-chord tone alter the motive in the B section, the relationship is readily apparent.
The fulfillment of Cinderellas dreams and passion, evident in the tonal emphasis on C major, is
also represented by the presence of not only small-scale 5-line descents, but a corresponding
structural descent. Where neither The Prince nor Cinderella could complete a structural
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descent alone, their mutual love makes such a descent possible. The higher-level replicas
reinforce locally the completion that is achieved overall.
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CHAPTER IV. COMPARISON OF ROMEO AND JULIET AND CINDERELLA
The leads in Prokofievs Romeo and Juliet and Cinderella are unique individuals in
different love stories. Each individual, Romeo, Juliet, Cinderella, and the Prince, has a theme that
characterizes him/her through the use of form, phrase structure, melodic tendencies, motives,
tonal centers, cadences, and other harmonic aspects. Their partner dances, the love dance and
duet, provide musical illustrations of their love for each other, often through the combination of
elements from the individuals themes as well as through new formal, melodic, and harmonic
elements. The previous chapters explored the individuals and couples themes and the
relationships of these pieces in each ballet. This chapter will compare and contrast the findings
concerning parallel characters/dances to determine if and how they are related.
Romeo and the Prince

Though Romeo and the Prince share few character traits save self-confidence, their
musical depictions show many similarities. To begin with, both of the heroes themes are fairly
short, especially in comparison with the themes of their leading ladies. The notated tempos are
observed through almost the entirety of their themes, the exception being Romeos codetta.
However, the tempo of Romeo is quite different from that of The Prince. Where the former
is Andante, characterizing Romeo as confident and unhurried, the latter is piu mosso ben ritmato,
indicating a confident, energetic character. Both characters themes emphasize rhythm as much
as melody, as evidenced by Romeos introduction and the Princes basic idea. The introduction
of Romeo sets up the accompanimental pattern that underlies the whole of the piece. Though
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harmonic aspects change with the melody, the rhythm never alters. The Princes basic idea is
even more static, never changing rhythmically or harmonically in any of its iterations.
In addition to rhythmic emphasis, both themes make use of chordal melodic textures as
often as, if not more than, contrapuntal or melody and accompaniment structures. This serves to
distinguish Romeo and the Prince as men, especially in contrast to the lyrical, melody-focused
themes of Juliet and Cinderella. However, the men do have sides of themselves that lean towards
sentimentality, especially Romeo. His legato B section and dreamlike codetta reveal a softer side
of his personality. The Princes nod to lyricism is less obvious, as it is established by borrowing
a motive from his yet-to-be-met love.
Despite sharing surface details like rhythmic and chordal emphasis and steady tempos,
many deeper details do not correspond. The form of Romeo is small ternary with a bookending
introduction and codetta. Its phrase structure is fairly straightforward, as well, forming several
examples of Caplins Hybrid 3, a compound basic idea and continuation. At first glance the form
of The Prince seems similar, and in fact it has the introduction and codetta in common, as well
as a three-part internal structure.1 However, the three parts between the introduction and codetta
are three sentences that all use the same basic idea. There is no name for such a form.
The different applications of returning ideas in Romeo and The Prince imply
different interpretations. For Romeo, the A section is a return from a lyrical melodic idea to a
more manly, jaunty, staccato basic idea. It is as if Romeo wants to hide his sentimental side
from the world at large, which is accomplished by restating his more masculine-sounding theme
(and subsequently negated by the codetta). In The Prince, the basic idea represents his societal
role, which, though it gives him assurance, is slightly repressive. Its frequent return after the
more individualized continuations indicates how the Princes responsibilities continually pull
1
See table 3.2 or Appendix.
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him from being completely himself. While Romeo affects a return to A for purposes of public
appearance, showing him to be a little vain, the return of the Princes basic idea is reluctantly
dutiful, revealing his integrity.
Melodically, the heroes themes are similar and different. Generally, both themes match
Stephensons discoveries for Romeo and Juliet: (1) that any pitch may be followed by
practically any other pitch, although (2) conjunct motion is preferred, and (3) motion by tritone is
avoided.2 In some ways the melodies of Romeos theme behave more classically than those of
the Princes. For example, Stephensons new tendency tones, pcs 4 and 10, do not follow their
new tendencies (motion to pc 2 and 11, respectively) in Romeo, but surprisingly do enact them
in The Prince. On the other hand, pc 5, a traditional tendency tone, behaves normatively in the
Princes theme but non-normatively in Romeos. Interestingly, pc 5 also does not observe the
general trends of the rest of Romeo and Juliet, but tends to precede pc 3 instead of pcs 4 or 6. In
both cases the leading tone prefers its traditional resolution over any other, showing more
flexibility in Romeo. In general, though the pitches of Romeo are just as likely to be
followed by any other pitch class, The Prince follows more of the tendencies noted by
Stephenson. As those tendencies often diverge from or expand upon established Romantic and
Classical tradition, the Prince is characterized as forward-looking and modern. Romeos melodic
tendencies prove him to be more rooted in tradition.
The Prince shows a melodic preference for scale degree 5 and Romeo shows a
slightly lesser preference for scale degree 3, each suggesting a structural descent from that pitch.
However, neither piece actually accomplishes a structural descent, nor do they make consistent
use of the descent as a small-scale motive. Without an Ursatz or derivative motives, or any other
recurring motivic idea, the different aspects of each character must be fused by another means.
2
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Romeo travels through more tonal centers than The Prince. All of these tonal centers
are established with authentic cadences. The Princes theme is entirely in C major, whereas
Romeos theme moves between F major, C major, and E major. While the majority of Romeos
B section is diatonic (in both E and C major) and the introduction and A section seem diatonic
(in F major), the latter always uses a raised fourth scale degree that is, until the modulation to
the dominant begins. As a result, a non-functional 5-6 sequence is formed. In The Prince there
seems to be no attempt to establish the diatonic scale at all, through melodic or harmonic means.
However, all of the chromatic pitches in the basic idea circle around notes of the tonic triad, as
do most of the chromatic pitches of the contrasting ideas. Harmonically, major qualities are
emphasized, resulting in a non-traditional progression. Again, Romeo is presented as the more
traditional hero, though he does have his own quirks.
Cadences present no contradictions to the conclusions drawn from melodic and harmonic
characteristics. Both pieces use only authentic cadences of some sort, but the chords functioning
as the dominant are unique to each piece. Depending on the harmonic rhythm, cadences in
Romeo tend to be a chromatically altered dominant to tonic (see ex. 2.7) or a root-position
leading tone IAC. In The Prince, all of the cadences completing the basic idea use a majorseventh dominant. The contrasting idea cadences of the Princes theme are more varied, but two
of the three suggest a Neapolitan-tonic cadential figure (see ex. 3.16), a cadence that is not found
in Romeo. Each piece makes use of one type of semi-traditional cadence and one nontraditional cadence. While the leading tone IACs of Romeos piece are different from normal
leading tone IACs only in that they are in root position, the VM7-I cadences of the Princes piece
merely change the quality of the traditional dominant seventh. Neither can be counted as more
traditional than the other. The truly altered cadences prove less comparable. On one hand is the
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ambiguous dominant, still recognizable as a dominant because of root motion by fifth, though the
split third and fifth obscure the harmony itself. On the other hand is the pre-dominant harmony
functioning as a dominant, in one case with no harmonic support and in another with intervening
non-chord tones. In both cases the altered dominant results in very smooth voice-leading
between pertinent chords. Because Romeos cadence retains its dominant identity, no matter the
semitone adjustments, it is less unusual than the dominant-functioning Neapolitan of the Princes
theme.
Neither piece makes notable use of displacement, either small- or large-scale. Key
relationships are fairly traditional and follow established patterns; no tonal centers a semitone
apart appear beside each other. Large-scale displacement is a moot point in The Prince due to
its tonal stasis. This lack is particularly interesting, as chromatic displacement would add another
level of flouting tradition to either character, were it used. Perhaps further disregard for tradition
would force the heroes to be seen as too rebellious, especially the already adventurous Prince.
Romeo and the Prince are similar in that they are both the heroes of their respective tales,
their music focuses on chordal texture and rhythmic quality, they are characterized as selfconfident, and the forms of their pieces are tripartite, but deeper formal, melodic, and harmonic
considerations reveal them to be quite different. The Princes melodic chromaticism, disregard
for harmonic progression, altered cadences, and unnamable form describe him as more
adventurous, forward-looking, and individual than Romeo. Romeo is not characterized as a man
governed by tradition, but one still connected to it.
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Juliet and Cinderella
The heroines of Prokofievs ballets both have complex pieces made up of several
defining themes. Juliets themes present her as playful, thoughtful, and mature, all of which
interact to form a character who is navigating the Neverland between childhood and adulthood.
Cinderellas three themes representing her suffering, dreams, and passion define her as a
woman with untapped depths. Preferences for melody and accompaniment or contrapuntal
textures distinguish these themes as feminine, as opposed to the more chordal themes of the
Prince and Romeo. The rhythmic emphasis found in the heroes themes is absent in those of
Juliet and Cinderella.
Both Juliet and Cinderella are best described as having modified rondo forms,
though the modifications are unique to each piece.3 Juliets modified rondo results from an extra
statement of the C section before the final A section (ABACADCA), without which it would
form a seven-part rondo. The modified rondo of Cinderella results from the repetition of the B
section instead of the A section, which never returns (ABCBCB). Were the A section not present
it would be a modified five-part rondo. In terms of traditional forms, Cinderella is the most
abnormal because even without the A section it would not form a normative five-part rondo,
whereas removing an appropriate section from Juliet does create a normative rondo form.
Formal modification indicates a complex character who does not always follow the rules. Juliets
complexity is evident in the use of a number of different themes and their organization.
Cinderellas complexity is determined more by the unusual order of themes than by their
number.
Phrase structure plays a role in the depth of complexity, as well. Almost all of the theme
types in Juliet are periods of some sort. That is, periods, modified periods, and parts of periods
3
Tables of Juliets theme and part of Cinderellas piece are available in the Appendix.
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are used throughout. The modified period is the most common, appearing not only in the
recurring A section, but also in the B section. If there is a most common theme type in
Cinderella, it must be the periods of the B section, by virtue of the modified rondo form. There
is no consistency of theme type across formal sections, as each section is defined in part by its
different phrase structure. The A sections theme type is Hybrid 1 with uneven phrases,
representing the discordance of Cinderellas home life. The part of the C section that returns is
sentential, depicting her passion through the longer phrases and delayed closure. So, while Juliet
is portrayed as complex primarily through the variation of one theme type, Cinderella is depicted
as complex through the variation of theme types.
Cadences play a role in phrase structure, of course, and in doing so help to define the
characters further. In Cinderella, weak and misplaced cadences combine with thematic ideas to
create an irregular, inconclusive A section; consistent, strong, and regularly sounded cadences in
the B section augment the stability of her dreams; a variety of cadence types and strengths, in
combination with phrase structure, support the less restrained passion of Cinderellas theme C.
Juliet uses authentic cadences primarily, the strongest, unaltered versions of which can be
found in the C section, representing her maturity. Similar cadences are used to represent different
characteristics in the two heroines themes. The V+(7)-I altered cadence, for instance, is used in
Juliet to represent her playfulness; in Cinderella it is representative of the consistency of her
dreams.
There are few similarities in melodic tendencies between the heroines themes. Though in
both cases the leading tone retains its traditional tendency and also has a secondary tendency, the
secondary tendencies are slightly different. Cinderellas pc 11 prefers stepping down to pc 10,
while Juliets pc 11 moves a little further down, to pc 9. This suggests that Juliet is more
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diatonic than Cinderella, a suggestion supported by the tendency of pc 6, as well. In Juliet,
pc 6 resolves traditionally, up to pc 7. In Cinderella, it more often resolves down to pc 5.
Neither piece treats pc 10 as the new tendency tone that Stephenson found it to be, though
Juliet does evidence the new tendency of pc 4 to move down to pc 2. Melodic tritones are used
very specifically in both pieces, again to refer to very different characteristics. The single
melodic tritone in Cinderella is evocative of her suffering, due to its prominent appearance in
the minor-key A theme. It is never used in a major-key context, and is thus reserved for
portraying unhappiness. There are two specific melodic tritones in Juliet, both at cadence
points, which serve different purposes: to reaffirm Juliets playfulness and to alert the listener to
a coming change in character.
Motivically, Juliet is less varied than Cinderella. The functional pitch-class motive
discovered by Rifkin, in which B acts as a dominant agent to C,4 appears to be its only
consistent motive. There is a fragment of the D theme that appears in the coda, but the
relationship is not exact, being primarily rhythmic. Connections between themes are somewhat
tenuous with only the functional pitch-class motive to indicate they are connected. Motives in
Cinderella take several forms, including rhythmic, melodic, and functional pitch-class. Of two
particular rhythmic motives, one can be found in themes A and B and the other is apparent in all
of Cinderellas themes. Similarly, the melodic arpeggiation motive appears at the beginning of
both the A and B themes. Both of these types of motives, while not adhering to any of Rifkins
definitions, are readily audible and serve as recognizable surface-level connections between
themes. The functional pitch-class melody, a small-scale 5-line, mimics the anticipated structural
descent, which does not actually occur. All of these motives bind together the different aspects of
Cinderellas character in a way that is not paralleled in Juliet, effectively characterizing Juliet
4
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as one transitioning into adulthood and Cinderella as an established personality with several
facets.
Both Juliet and Cinderella travel through many tonal centers in the course of their
themes. Those established in Juliet are: C, E, Ab, A, and F major, not necessarily in that order.
By using only major keys, Prokofiev characterizes Juliet as a generally happy person, or at least
one unaccustomed to negative circumstances. In contrast, tonal centers established by authentic
cadences in Cinderella include g minor, C major, F major, and c# minor (E major is
established as well, but by repetition, not cadence). The inclusion of minor keys characterizes
Cinderella as a woman who knows both joy and misery.
While all of the tonal centers of Juliet may be related by mediant, the order of their
appearance does not always recognize that relationship. Twice, a semitonal relationship is
exploited instead, though in neither case (Ab-A, F-E) is chromatic displacement used to achieve
the shift. Many of the modulations are direct, showing Juliets childlike side through the lack of
finesse. Modulations in Cinderella are smoother, often moderated by brief monophonic
passages. One such passage occurs between c# minor and C major, utilizing Bass crossrepresentation to execute the switch efficiently. Aside from this small example of chromatic
displacement, the concept is otherwise apparent only in the substitution of b4 in the functional
pitch-class motive. The use of transitions to move between keys shows Cinderella to be selfaware and mature.
Juliet and Cinderella share some general musical characteristics, such as a preference for
melody and accompaniment or contrapuntal texture, that name them feminine. They do,
however, have formally complex pieces with multiple themes sounding different aspects of their
characters. However, the characters are quite different from one another. Many times this results
101
in the use of different structures, formal, melodic, and harmonic, but sometimes it results in the
different use of the same structure. Juliet and Cinderella have disparate large-scale forms,
use of phrase structures, melodic tendencies, and number and use of motives. They also have
similar tonal centers and cadences that are used to represent differing aspects of their characters.
Though they are parallel figures in their respective ballets, their characters are distinct enough to
warrant often dissimilar musical representations.
Love-Dance and Duet

In both Romeo and Juliet and Cinderella, the main characters have at least one partner
dance that characterizes their newfound love. This study considered only those dances that
closely follow the lovers first meetings and which are unobserved by any other character,
namely Love-Dance and Duet. Both characterize the love of the main characters through
formal, phrase, melodic, and harmonic structures, as well as through reference to the heros and
heroines themes. The love dance presents Romeo and Juliets love as unrestrained, with
passionate, sweet, and playful aspects, and offers hints of their unhappy end. The duet
characterizes the love of Cinderella and the Prince as consistent and uncomplicated, with gentle,
simple, grand, and strong aspects.
Formally, the two pieces are incredibly different, which plays into interpretation.5 LoveDance has no normative form, though changes in thematic ideas, tempo, key, and texture urge a
modified binary form. Much of the difficulty in assigning a formal label arises from the lack of
conclusive cadences, such as the missing cadence between the A and B sections. The resulting
form of the love dance represents Romeo and Juliets love as unrestrained, insensible to
boundaries or constraints. There is no formal similarity between the love dance and the main
5
Forms of both themes are available in the Appendix.
102
characters themes. Duet, on the other hand, is in rounded binary form, the normative nature of
which depicts their love as constant and uncomplicated. It refers to the Princes theme in the use
of an introduction and codetta, and abstractly to both lovers themes in its use of three parts. In
both cases, the use of a form different from those used for the lovers individual themes suggests
that their mutual love creates a new entity unique not to an individual, but to the couple.
Phrase structures in Love-Dance and Duet support the formal interpretations of
unrestraint and consistency, respectively. Normative theme types are nowhere to be found in the
A section of the love dance, hampered by a profusion of thematic ideas in apparently random
order and missing, elided, or otherwise confused cadences. As the most recurrent themes, (a) and
(d), of the A section represent the passionate and sweet sides of Romeo and Juliets love, the fact
that normal theme types are forgotten is unsurprising. The lovers are simply too engrossed in
each other to care about phrase structure. The B section represents the playful side of their love
(referencing a character of Juliets theme) and is more orderly in terms of phrase structure. Still,
it is not quite normative in that the real measure changes partway through the first period and the
piece ends with an extended consequent phrase not preceded by an antecedent phrase. The
overall lack of consistent phrase lengths and theme types and changing real measure adds to the
impression of passionate unrestraint. Phrases in Duet are much more normative in length,
function, and cadences, forming five periods through the course of the piece. The use of periods
refers back to Cinderellas dream theme, implying that her dreams are fulfilled in the Prince. By
using only periods and primarily four-measure phrases, Prokofiev characterizes Cinderella and
the Princes love as consistent and fulfilling.
As formal analysis has revealed, cadences also influence characterization, particularly in
their presence or absence. However, types and uses of cadences also affect interpretation. Most
103
of the cadences in Duet are altered-IACs, many of which use a predominant in place of the
dominant cadential harmony to create smoother voice-leading. The uniform type and smooth
motion of the cadences characterize Cinderella and the Princes love as not only consistent, but
effortless. Cadences in Love-Dance come in many types, including half cadences, and are
treated in a variety of ways. There are no unaltered authentic cadences, and many of the altered
cadences retain some sort of dominant-tonic harmonic motion, or substitute a mediant for the
dominant. Most of the cadences, half or authentic, are weakened by elision, metric placement,
uncertain key areas, or a continuous melody. This results in a piece that seems to overflow with
passion and joy. The use of different types of cadences and the dissimilar treatment of cadences
in Duet and Love-Dance support diverse interpretations of consistency and passion.
There is also a great deal of difference in the tonal centers of each piece. To begin with,
Cinderella and the Princes duet encompasses only two key areas: C and F major, the latter of
which is not established with a cadence. The love dance includes both of those tonal centers as
well as A minor, E, Ab, Eb, B, and Bb major. Again, consistency and unrestraint are apparent in
the expected pieces. Many of the tonal centers reference one or both of the main characters
themes. The emphasis on C major in Duet refers to Cinderellas dreams and the Princes
theme, while the mentions of F major refer to Cinderellas passion theme; the combination of all
of those in the duet represents the coming together of the two characters as well as the fulfillment
of Cinderellas dreams and passion. Love-Dance refers to Romeo (F, C, and E major) and
Juliet (C, E, Ab major and the minor-mode of A) but also uses new tonal centers (Eb and Bb
major) to characterize their love.
Despite the use of chromatically related tonal centers, especially in the B section, there is
no large-scale chromatic displacement in the love dance. The same is true of the duet, by virtue
104
of the predominant/dominant relationship between C and F. However, chromatically displaced
pitches are apparent in the thematic ideas of the duet as well as in the structural descent and
replica 5-lines. The most prominently displaced pitch is scale degree four, which is raised in all
cases but retains the function of the diatonic scale degree.
There are two particular motives in Duet, one of which, the 5-line replica, is an
example of Rifkins systemic motive. The other is more surface-level, relating the thematic ideas
of the A and B sections. Though slight intervallic adjustments, a non-chord tone, and a change in
meter affect the B section appearance of the motive, the rhythmic and melodic similarities are
pronounced, connecting the sections characterized as sweet and strong. Motives in the love
dance appear primarily in the B section. Melodic and rhythmic similarities between different
themes, particularly themes (g) and (h), form surface-level motives as well as one functional
pitch-class motive. One of these functional pitch-class motives, a passing bass motion from tonic
to submediant, can be found throughout the piece. Motives, both surface-level and deeper,
provide connections between thematic ideas with different characters and draw together multiple
sections. The duets systemic motive lends further weight to the consistency of Cinderella and
the Princes love by relating the whole to the parts. Romeo and Juliets love, though passionate,
does not have such overarching motivic support.
In general, the partner dances examined here have different characterizations that are
established musically through dissimilar forms, phrase structures, and cadences and through the
distinct use of tonal centers and motives. Romeo and Juliets love is passionate and unrestrained,
as evidenced by an abnormal two-part form, unequal phrases, weak cadences, multiple and
ambiguous tonal centers, and mostly surface-level motives. Cinderella and the Princes love is
105
consistent and uncomplicated, characterized by traditional rounded binary form, periodic
structure, consistent cadences, tonal surety, and motives across multiple levels.
Conclusions
Though Romeo and Juliet and Cinderella are both love stories with themes characterizing
the heroes, heroines, and their love, the parallels do not go much further than that. Each character
is unique and many of the defining musical structures are, too. However, some of the same
structures are used to different purposes. Form is one of the musical characteristics that may be
used to distinguish individual characters and dances, as no two pieces share the same form.
Prokofiev seems to use traditional forms to indicate steadiness and surety, modified forms to
indicate individuality, and abnormal forms to indicate a forceful personality/emotion. Phrase
structure falls along similar lines, though the abnormal phrase structures refer less to forceful
emotion than overflowing emotion.
Melodic tendencies are less straightforward. In general, melodic tendencies agreed with
Stephensons findings: (1) that any pitch may be followed by practically any other pitch,
although (2) conjunct motion is preferred, and (3) motion by tritone is avoided.6 Whether a
piece follows mostly traditional tendencies, some new tendencies, or many new tendencies does
not greatly influence characterization. When the rare tritones are used in Cinderella and
Juliet, they contribute to completely different characterizations of suffering and playfulness.
Motives are used slightly more specifically to create connections at various levels. Deeper
connections such as the systemic motive generates completion, higher-level connections like the
functional pitch-class motive only imply completion, and surface-level connections like rhythmic
106
motives establish continuity. However, a dearth of motives does not necessarily mean that the
character lacks continuity or completion.
Harmonic structures are the least indicative of any particular characterization, except for
the use of minor keys. Among the six pieces examined here, all of the minor-mode moments are
representative of something distressing, be it Cinderellas treatment at home or a foreshadowing
of Romeo and Juliets tragic end. Motion between mediant-related keys sometimes suggests
maturity, but motion between chromatically related keys could be read as immaturity, joyfulness,
or determination. While in the pieces from Cinderella the key of C major is representative of her
dreams, the Prince, and the fusion of those two, there is no corresponding relationship of tonal
centers in the pieces from Romeo and Juliet. Similar cadences are used in many of the pieces, but
often to different effects.
While these well-known characters have been described in studies of Prokofievs ballets,
no theoretical work exists that explores what musical features Prokofiev uses to define the
characters and tell their stories in this untexted medium. This study has demonstrated that
Prokofiev characterizes the lead characters of Romeo and Juliet and Cinderella through melodic,
harmonic, and formal means. Aspects of his musical language are used to define them, but much
of the characterization is on an individual basis. Future research might consider characterization
of secondary characters in Romeo and Juliet and Cinderella and/or comparison of characterdefining pieces from different ballets by Prokofiev and others, in search of a more
comprehensive understanding of musical characterization.
107
BIBLIOGRAPHY
Bass, Richard. Prokofievs Technique of Chromatic Displacement. Music Analysis 7, no. 2
(1988): 197-214.
Caplin, William. Classical Form: A Theory of Formal Functions for the Instrumental Music of
Haydn, Mozart, and Beethoven. New York: Oxford University Press, 1998.
Jaffe, Daniel. Sergey Prokofiev. London: Phaidon Press, 1998.
Prokofiev, Sergei. Cinderella (Aschenbrdel), Op. 87. Hamburg: Musikverlag Hans Sikorski,
1957.
. Cinderella. DVD. Directed and choreographed by Frederick Ashton. West Long Brach,
New Jersey: Kultur, 1969.
. Romeo and Juliet (Romeo und Julia), Op. 64. Hamburg: Musikverlag Hans Sikorski,
1958.
. Romeo & Juliet. London Symphony Orchestra. Valery Gergiev. 2010. LSO0682.
Morrison, Simon. The Peoples Artist: Prokofievs Soviet Years. Oxford: Oxford University
Press, 2009.
Narmour, Eugene. The Analysis and Cognition of Melodic Complexity: The ImplicationRealization Model. Chicago: University of Chicago Press, 1992.
Perrault, Charles. Cinderella, or, The Little Glass Slipper In Classic French Fairy Tales.
Illustrated by Janusz Grabianski. New York: Meredith Press (1967): 40-47.
Randel, Don Michael, ed. The Harvard Concise Dictionary of Music and Musicians. Cambridge,
Massachusetts: Harvard University Press, 1999.
Rifkin, Deborah. A Theory of Motives for Prokofievs Music. Music Theory Spectrum 26, no.
2 (Autumn 2004): 265-290.
. Tonal Coherence in Prokofievs Music: A Study of the Interrelationships of Structure,
Motives, and Design. PhD diss., University of Rochester, 2000.
Samuel, Claude. Prokofiev. Translated by Miriam John. New York: Marion Boyars Publishers,
2000.
Shakespeare, William. Romeo & Juliet. Cambridge University Press, 1955.
Stephenson, Ken. Melodic Tendencies in Prokofievs Romeo and Juliet. College Music
Symposium 37 (1997): 109-128.
108
APPENDIX: FORM CHARTS
Table 2.1: Form chart of Juliet the Young Girl

Section
A
1-4
Measures
B
5-8
Theme Type
modified period
Tonal Center
Cadences
alteredPAC
9-13
14-19
alteredPAC
19-26
modified period
Section
43-48
Theme
Type
Tonal
Center
phrase
group
48-51
mod.
period
Ab
E-C
altered-IAC
HC
alteredPAC
PAC
C
PC
64-67
68-71
presentation + consequent
= uncommon hybrid
period
F-E
F
alteredIAC
60-63
alteredIAC
alteredIAC
PAC
alteredIAC
PAC
C
56-60
35-42
period
F-E
period
31-34
mod.
period
52-55
27-30
Measures
Cadences
CODA
72-79
80-89
mod.
period
C
alteredPAC
PAC
alteredIAC
Table 2.2: Form chart of Love-Dance (continued on next page)

A Section
Thematic Idea
Measures
Tonal Center
Introduction
1-4
5-7
8-10
10-12
13-16
16-18
19-22
23-26
C-E
alteredPAC?
F
alteredIAC
a?
C-E
(alteredIAC?)
Cadences
(alteredIAC?)
(HC?)
Thematic Idea
Measures
Tonal Center
d
27-30
A Section Continued
e
f
d
31-34
35-38
39-42
C?
Ab?
E
Cadences
(HC)
(HC?)
??
(HC)
e
43-46
C?
(HC?)
(HC)
a
47-52
a?
alteredPAC
trans.
53-56
109
Table 2.2: Form chart of Love-Dance (continued from previous page)
B Section
g
trans
57-63
64-68
69-75
76-79
82-84
85-91
92-95
100-103
Eb
(IAC)
HC
(IAC)
Eb
alteredPAC
Eb
alteredPAC
Bb
alteredPAC
Thematic Idea
Measures
Tonal Center
Cadences
(IAC)
Table 3.1: Form chart of Cinderellas second theme
Phrase
Motivic Idea
Measures
Tonal
Center
Period 1
Antecedent
Consequent
b.i.
c.i.
b.i.'
c.i.
11-13
13-15
15-17
17-19
Period 2
Antecedent
Consequent
b.i."
c.i.
b.i.'
c.i.
19-21
21-23
23-25
25-27
C
alteredIAC
Cadences
alteredIAC
alteredIAC
IAC
Table 3.2: Form chart of The Prince

Sentence 1
Phrase
Thematic
Idea
Measures
Intro
124-125
Presentation
Continuation
Presentation
Continuation
b.i.
b.i.
c.i.
b.i.
b.i.
c.i.
126-128
128-130
130-134
134-136
136-138
138-146
altered-PAC
IAC
Tonal Center
altered-IAC
Cadences
Phrase
Thematic Idea
Measures
Tonal Center
Cadences
Sentence 2
b.i.
146-148
altered-PAC?
Expanded Sentence 3
Presentation
b.i.
b.i.
148-150
150-152
C
altered-IAC
Continuation
c.i.
152-158
Codetta
159-164
altered-PAC
PAC
110
Table 3.3: Form chart of Duet (A B A)
Introduction
Period 1
Antecedent
Phrase
Thematic
Idea
Measures
1-2
Period 2
Consequent
Antecedent
b.i.
c.i.
b.i.
c.i.
Interlude
b.i.
c.i.
b.i.
c.i.
3-4
5-6
7-8
9-10
10-13
14-15
16-17
18-19
20-21
Tonal
Center
F-C
alteredIAC
Cadences
alteredIAC
Antecedent
altered-IAC
HC?
Period 3
Phrase
Consequent
PAC
Period 4
Consequent
Antecedent
Consequent
Thematic
Idea
b.i.
c.i.
b.i.
c.i.
b.i.
c.i.
b.i.
c.i.
Measures
22-23
24-25
26-27
28-31
32-33
34-35
36-37
38-43
Tonal
Center
Cadences
C
(alteredIAC)
alteredIAC
(alteredIAC)
Period 5
Phrase
Antecedent
alteredIAC
Codetta
Consequent
Thematic
Idea
b.i.
c.i.
b.i.
c.i.
Measures
44-45
46-47
48-49
50-51
51-55
PAC
PAC
Tonal
Center
Cadences
F-C
C
HC?

PROKOFIEV - Romeo y Julieta - Cinderella

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PROKOFIEVS ROMEO & JULIET AND CINDERELLA:

Carolyn Zoe Brouthers

Nora Engebretsen, Advisor

CHAPTER II. ROMEO AND JULIET .................................................................................

CHAPTER III. CINDERELLA .............................................................................................

The Prince ......................................................................................................

Duet The Prince and Cinderella..

CHAPTER IV. COMPARISON OF ROMEO AND JULIET AND CINDERELLA...........

Romeo and the Prince ................................................................................................

Juliet and Cinderella ..................................................................................................

Love-Dance and Duet 101

Beginning of Romeo (mm. 1-5) .............................................................................

Lyrical theme, beginning of the B section, Romeo (mm. 15-17)...........................

Octave displacement of introductory harmonic pattern, Romeo (mm. 15-18) ......

Codetta, Romeo (mm. 41-44).................................................................................

Altered cadences ........................................................................................................

Chromatic substitution, altered-PAC; from Romeo and Juliet Romeo

Mediant substitute for dominant harmony, altered-PAC; from Romeo and

Predominant simultaneity with dominant harmony, altered-IAC; from .

IACs with non-chord tones, Romeo (mm. 6-7, 13-14) ..........................................

Alternate readings of unaltered IACs, Romeo (mm. 22-23, 30-31).......................

Two-measure group characteristic of the A section, Juliet (mm. 1-2). ..

2.10 Beginning of B section, Juliet (mm. 9-13) .............................................................

2.11 Antecedent phrase of C couplet, Juliet (mm. 27-30)..............................................

2.12 First phrase of D couplet, Juliet (mm. 43-48) ........................................................

2.13 Antecedent phrase of D couplet, Juliet (mm. 48-51) .............................................

2.14 Coda, Juliet (mm. 80-89)........................................................................................

2.16 Small-scale version of mediant key relationship introduced in harmonic progression,

2.17 Small-scale semitone relationship? Juliet (mm. 50-51) .........................................

2.19 Altered-PAC; Dominant has raised fifth, Juliet (m. 38).........................................

2.20 Leaping PAC, Juliet (mm. 29-30) ..........................................................................

2.22 Elided cadence of (a) theme, Love-Dance (mm. 13-16) ........................................

2.24 Theme (e), Love-Dance (mm. 42-46) ....................................................................

2.25 Theme (f), Love-Dance (mm. 34-38).....................................................................

2.26 Theme (i), Love-Dance (mm. 92-95) .....................................................................

2.27 Beginning of B section, theme (g), Love-Dance (mm. 57-60)...............................

Opening rhythm, theme (a) (mm. 4-6)

Opening rhythm, theme (d) (mm. 18-20)

End of theme (g) (mm. 62-63)

Beginning of theme (h) (mm. 64-65)

Beginning of theme (g) (mm. 58-59)

End of theme (h) (mm. 66-67)

Beginning of Cinderellas first theme (mm. 1-5).......................................................

Antecedent phrase of Cinderellas second theme (mm. 11-15).................................

Altered-IAC, Cinderella (mm. 22-23)....................................................................

Beginning of Cinderellas third theme (mm. 28-29) .................................................

Two formal interpretations of mm. 40-41, Cinderella ...........................................

Sequential, major-mode transition between C and B sections (E major and C major),

Cinderella (mm. 68-76) ..........................................................................................

Rhythmic motives across themes, Cinderella.........................................................

Rhythmic motives a and b in A theme (mm. 3-4)

Rhythmic motives a and b in B theme (mm. 17-18)

Rhythmic motive b in C theme (mm. 41-42)

Melodic arpeggiation motive across themes, Cinderella........................................

Melodic arpeggiation motive in A theme (m. 3)

Melodic arpeggiation motive in B theme (m. 12)

Semitone motion from pc 6 in minor and major keys, Cinderella .........................

Traditional upward resolution of pc 6 to pc 7; raised fourth in a minor key

Downward resolution of pc 6 to pc 5; lowered fifth in a major key

3.10 Melodic interval content of Cinderellas first theme (mm. 1-5)................................

3.12 Cross-representation of D and F, Cinderella (mm. 49-50).................................

3.14 The Princes Introduction (mm. 124-125) .................................................................

3.15 Codetta, The Prince (mm. 159-164).......................................................................